The SEC and the CFTC have adopted substantially similar interim final rules concerning the reporting of swaps and security-based swaps (collectively, “Swaps”) that were entered into p...

On October 5, 2010, President Obama signed into law legislation that repeals Section 929I of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”), whic...

SEC Rules and Regulations  SEC Votes to Adopt New Proxy Access Rules Industry Update Technical Corrections and Revisions to New York Law Governing Powers of Attorney Effective Sep...

SEC Rules and Regulations SEC Proposes New Rules Governing Mutual Fund Distribution Fees SEC Adopts Amendments to Part 2 of Form ADV Industry Update SEC Provides Guidance on Deri...

Citing a need to better protect and inform mutual fund investors, the Securities and Exchange Commission (“SEC”) proposed on July 21, 2010 to replace Rule 12b-1 under the Investment C...

The “Volcker Rule,” which is a key component of the Dodd-Frank Wall Street Reform and Consumer Protection Act, prohibits any “banking entity” from engaging in proprietary trading,...

Industry Update House Passes Dodd-Frank Wall Street Reform and Consumer Protection Act Effect of the U.S. Financial Reform Legislation on Foreign Investment Adviser Registration SEC ...

The following slides show the effective dates for various agency rulemakings required, and statutory amendments made, by the Dodd-Frank Wall Street Reform and Consumer Protection Act, ena...

With the President’s signature on July 21, 2010, the Dodd-Frank Wall Street Reform and Consumer Protection Act (“the Act”) is law of the land. The Act marks the greatest legislative...

Industry Update Senate Passes Restoring American Financial Stability Act Recent Developments Regarding the EU Directive on Alternative Investment Fund Managers California Attorney Ge...