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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...
The Financial Accounting Standards Board (“FASB”) has published a proposal to amend its disclosure requirements for loss contingencies. The amended disclosure requirements, if ultimat...
On July 21, 2010, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”). While the crux of the Act regulates financial institutions...
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,...
The Dodd-Frank Wall Street Reform and Consumer Act recently signed into law by the President contains three new disclosure requirements applicable to mining and natural resource extractio...
On July 22, the Tax Court published its decision in the case of Anschutz Company v. Commissioner, involving a taxpayer that (indirectly) engaged in various prepaid variable forward contra...
Today, President Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act. Congress has made a policy decision to stage the effectiveness of the law over time, giving fi...
Among the many provisions contained in The Dodd-Frank Wall Street Reform and Consumer Protection Act (signed into law by the President today), is a provision which nullifies Rule 436(g) u...