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States Securities Divisions Amending Securities Regulations Post Dodd-Frank

August 18, 2010

Washington State Proposes Amendment to Definitions The Dodd-Frank bill has certainly created new responsibilities for the SEC and CFTC.  Also affected are the state securities divisions which have laws and regulations referencing, or based on, various federal securities laws.  Because federal laws have changed under Dodd-Frank, the state securities laws (generally known as “Blue Sky” [...]

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Hedge Fund Events August 2010

August 1, 2010

The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** Aug 2-3 Sponsor: Salvo Global Event: Counterparty & Credit Risk Masterclass Location: Johannesburg, South Africa August 3 Sponsor: 100 Women in Hedge Funds Event: Education Session No. 214 U.S. [...]

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Hedge Fund Events May 2010

May 1, 2010

The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** May 2-4 Sponsor: Institutional Investor Event: Global Hedge Fund Summit Location: Southampton, Bermuda May 3-4 Sponsor: AFAQ Group Event: 2nd Jordan AFAQ Economic Forum Location: Amman, Jordan May 3-5 [...]

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Mallon P.C. Quarterly Newsletter | 1st Quarter 2010

April 2, 2010

Below is our quarterly newsletter.  If you would like to be added to our distribution list, please contact us. **** April 1, 2010 www.mallonpc.com Mallon P.C. Quarterly Newsletter Clients and Friends, We take this opportunity to provide you with a brief overview of the major items we have reported on over the last quarter.  We [...]

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Hedge Fund Events April 2010

April 1, 2010

The following are various hedge fund events happening this month.  Please email us if you would like us to add your event to this list. **** April 7-8 Sponsor: WBR Event: TradeTech Derivatives USA Location: New York, NY April 8 Sponsor: NYSSA Event: Alternative Analysts’ Forum Location: New York, NY April 8-9 Sponsor: Standard Board [...]

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CFA Exam and CFA Charterholder Membership

March 31, 2010

CFA Exam Overview The Chartered Financial Analyst (CFA) designation is a widely recognizable professional title for financial analysts in the investment management industry.  In order to earn the CFA Designation and become a CFA Charterholder, you must first enroll in the CFA Program at the CFA Institute and then pass the CFA exam.  The CFA [...]

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Mallon P.C. Comments on Proposed Retail Forex Regulations

March 23, 2010

www.hedgefundlawblog.com Text of the Mallon P.C. comment is provided below. **** [Footnotes ommitted] March 22, 2010 VIA ELECTRONIC MAIL AND COURIER Mr. David Stawick Secretary Commodity Futures Trading Commission 1155 21st Street, NW Washington, DC 20581 Re: Request for Comment on Proposed Regulation of Off-Exchange Retail Foreign Exchange Transactions and Intermediaries Dear Mr. Stawick: This [...]

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Health Care and Hedge Funds

March 22, 2010

Obama Health Care Bill Increases Capital Gains Rate to 23.8% According the this story by Bloomberg, the tax on dividends and long term capital gains under the Obama Health Care Bill will spike to 23.8% when the tax increases are fully implemented.  The article states: Obama’s budget proposes to allow the existing 15 percent tax [...]

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NFA Adopts CPO Quarterly Reporting Rule

March 16, 2010

The NFA recently adopted new Rule 2-46 which will require commodity pool operators to make a quarterly report to the NFA.  This quarterly reporting requirement is in addition to the annual audit financial statement filing requirement and must be completed through the NFA’s online filing system. We have provided an overview of the major requirements [...]

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New Connecticut Hedge Fund Laws Proposed

March 15, 2010

Wants Greater Disclosure & Transparency A bill was recently introduced into the Connecticut General Assembly which would require investment advisers to hedge funds to provide an overview of any conflicts of interests of such investment adviser with respect to its duties to the fund (or its investors).  This new bill comes about a year after [...]

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