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Yesterday seven federal agencies jointly finalized a proposed rule under Section 956 of the Dodd-Frank Wall Street Reform and Consumer Protection Act that would subject financial institut...
A proposed rule issued under Section 956 of the Dodd-Frank Wall Street Reform and Consumer Protection Act would subject financial institutions with $1 billion of assets to substantive and...
On January 26, 2011, the SEC and the CFTC (the “Commissions”) jointly released proposed new rules under the Commodity Exchange Act and the Investment Advisers Act of 1940 (the “Advi...
In this issue of the Investment Management Regulatory Update:
SEC Rules and Regulations - SEC Extends Expiration Date for Temporary Rule on Principal Trades with Certain Advisory Clients...
On November 19, 2010, the SEC issued a release (the “Exemptions Release”) proposing rules to implement certain provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer...
On November 19, 2010, the SEC issued a release (the “Implementing Release”) in which it proposed rules and rule amendments, including various amendments to Form ADV, to implement cert...
On November 19, 2010, the SEC issued a release (the “Exemptions Release”) proposing rules to implement certain provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer...
SEC Rules and Regulations
SEC Proposes Rule Defining “Family Offices” under the Dodd-Frank Act
SEC Requests Comment on President’s Working Group Study of Money Market Fund Refo...
On October 18, 2010, the SEC proposed rules to implement the provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act that require U.S. public companies to conduct sepa...