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On February 15, 2012, the Securities and Exchange Commission (the “SEC”) issued a final rule release (the “Release”) adopting amendments (the “Amendments”) to Rule 205-3 under...
On February 9, 2012, the Commodity Futures Trading Commission (the “CFTC”) adopted final rule amendments (the “Final Rules”) relating to the registration of commodity pool operato...
On January 19, 2012, the staff of the SEC’s Division of Investment Management released responses (“Responses”) to frequently asked questions about Rule 202(a)(11)(G)-1, the so-calle...
SEC Rules and Regulations
SEC Amends Net Worth Standard for Individual Accredited Investors
SEC Schapiro Seeks Authority to Impose Larger Penalties for Securities Law Violations
In...
Industry Update
Treasury Department To Develop Anti-Money Laundering Rules for Investment Advisers
Proposed Treasury Regulations Clarify U.S. Taxation of Investments by Foreign Gov...
SEC Rules and Regulations
SEC Adopts Private Fund Systemic Risk Reporting Rule
SEC Proposes Rules on the Registration of Security-Based Swap Dealers and Major Security-Based Swap P...
On October 26, 2011, the Securities and Exchange Commission (the “SEC”) voted unanimously to adopt a new rule under the U.S. Investment Advisers Act of 1940 (the “Advisers Act”) t...
The Financial Stability Oversight Council recently approved a proposed rule and guidance setting out the metrics and process it would use to designate a nonbank financial company as syste...
Industry Update
Regulators Release Proposed Regulations Implementing the Volcker Rule
SEC Grants No Action Relief from Pay-to-Play Recordkeeping Requirements
SEC Plans to Consider ...
On August 31, 2011, the SEC issued a concept release (the “Derivatives Concept Release”) soliciting public comment on the use of derivatives by registered investment companies under t...