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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...
This memorandum, which updates our January 2009 and February 2010 memoranda on this topic, summarizes the key developments in the past year relating to environmental disclosure and provid...
On January 7, 2011, the Supreme Court agreed to hear Erica P. John Fund, Inc. v. Halliburton Co. (No. 09-1403). This case presents the Court with an opportunity to resolve a split in the ...
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...