Maureen Whalen is a senior associate in the Financial Services & Products Group, focusing her practice on the formation, structuring and management of domestic and offshore private investment funds and funds of funds, as well as investment adviser registration and compliance.
Ms. Whalen received her J.D., cum laude, from American University, Washington College of Law, in 2008. She received her B.A. in history from Fordham University in 2002. Ms. Whalen is admitted to practice in North Carolina.
This advisory discusses a recent SEC guidance update that clarifies the filing requirements for certain electronic communications by mutual funds and other registered investment companies (“investment companies”). Specifically, the guidance from the Division of Investment Management (“IM Guidance”) seeks to make clear the obligations of investment companies with respect to real-time electronic materials posted on their social media sites (“interactive content”).
18 March 2013
1 November 2011
January 5, 2010
"SEC Proposed Rule Amendments Would Enhance Regulatory Regime for Money Market Funds," Derivatives Financial Products Report, Vol. 11, No. 1, September 2009.