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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...
In an important recent decision, In re Champion Enterprises Inc., the U.S. Bankruptcy Court for the District of Delaware held that payments made and collateral granted on account of valid...
On November 10, 2010, the CFTC proposed rules concerning swap dealers and major swap participants (“swaps entities”) under the Dodd-Frank Act. The rules address entity registration, c...