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Although the past year has not seen a wholesale revision in the rules applicable to Form 10-Ks and proxy statements, there have been a handful of rule changes and the SEC staff has issued...
The study by the Financial Stability Oversight Council (“FSOC”) of the funds portion of the Volcker Rule includes useful findings and recommendations on the definitions of “hedge fu...
As required by the Dodd-Frank Act, the Financial Stability Oversight Council (the “FSOC” or “Council”), has completed a study of the concentration limit imposed by Section 622 of ...
The Financial Stability Oversight Council’s (“FSOC” or the “Council”) studyon the Volcker Rule calls for robust implementation of the core proprietary trading prohibition while ...
The designation of systemically important nonbank financial companies has generated significant interest from multiple stakeholders about which companies the Financial Stability Oversight...
The SEC has proposed rules that would implement the requirements of Section 1503 of the Dodd-Frank Wall Street Reform and Consumer Act. This Section is already in effect and calls for ope...
The SEC has proposed rules that implement Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Act which requires companies that file Exchange Act reports, whether U.S. companie...
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...