Richard I Ellenbogen


  • Wednesday, October 10, 2012
    Editor’s Note: This report discusses steps to reduce the likelihood of a future recession and is therefore of great importance to all our readers. Our thanks go to Weil, Gotshal & Manges LLP and its Financial Regulatory Reform Working Group for their efforts.       Introduction Heath P. Tarbert Sunny J. Thompson
  • Sunday, October 4, 2009
    In remarks at the outset of summer on financial regulatory reform, President Obama outlined general proposals for overhauling the regulation of the U.S. financial services industry, which would include requiring all private fund managers to be registered under the Investment Advisers Act of 1940, as amended (the "Advisers Act"). The Obama administration...
  • Sunday, October 4, 2009
    The Securities and Exchange Commission (the "SEC") has proposed Rule 206(4)-5 (SEC Rel. No. IA-2910 (8/3/09)) (the "Proposed Rule") under the Investment Advisers Act of 1940, as amended (the "Advisers Act"), designed to prevent "pay to play" practices by registered and nonregistered investment advisers compensating placement agents, finders and other...