Investment Management Bulletins

• “FINRA Proposes Revised Broker-Dealer Pay-to-Play Rules,” Thompson Hine Investment Management Update, March 2016
• “Second Circuit Broadens Dodd-Frank Whistleblower Interpretation,” Thompson Hine Investment Management Update, September 2015
• “Proposed Exemption from Commodity Pool Operator Status for Certain Advisers to Registered Investment Companies,” Thompson Hine Investment Management Update, July 2014
• “SEC Sanctions Broker-Dealer for Improper Soft Dollar Payments,” Thompson Hine Investment Management Update, March 2014
• “CFTC Adopts Harmonization Rules for Registered Investment Companies,” Thompson Hine LLP (2013)
• “Global Investment Performance Standards’ (“GIPS®”) Guidance Updated to Include Error Correction Standard,” Thompson Hine LLP (2010)
• “Investors May Face Higher Tax Bill Following IRS Ruling,” Thompson HIne LLP (2008)
• “Seventh Circuit Rejects Gartenberg Standard in Adviser Fee Case and Fashions New Test,” Thompson Hine LLP (2008)
• “A Summary of Sound Practices for Hedge Fund Managers,” Thompson Hine LLP (2008)
• “SEC Proposes Revisions to Regulation S-P and Expansion of Customer Privacy Requirements,” Thompson Hine LLP (2008)