Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights October 7, 2011 Client Update Leaked Volcker Release – Proprietary Trading On Wednesday, October 5, the American Banker made public a September 30 draft of the imminent interagency release on the V... October 5, 2011 Client Update SEC Large Trader Rule: Impact on Corporations and Related Individuals The SEC’s new Large Trader Reporting Rule should be reviewed by corporations and individuals that exercise discretion ov... October 4, 2011 Client Update Tighter Circuit Breakers in Equities Markets The stock markets have proposed to tighten the market-wide circuit breakers that halt trading in the equity markets. The p... September 19, 2011 Client Update Investment Management Regulatory Update - September 2011 On August 31, 2011, the SEC issued a concept release (the “Derivatives Concept Release”) soliciting public comment on ... September 7, 2011 Client Update Federal Reserve Interim Final Rule Adopts Regulations for Savings and Loan Holding Companies On August 12, 2011, the Board of Governors of the Federal Reserve System (the “Board”) issued an interim final rule se... September 2, 2011 Client Update SEC Seeks Public Comment on Mutual Fund Derivatives Use and Asset-Backed Issuers and Mortgage-Related Pools under the Investment Company Act On August 31, 2011, the SEC issued (i) a concept release (the “Derivatives Concept Release”) soliciting public comment... August 12, 2011 Client Update Investment Management Regulatory Update - August 2011 SEC Rules and Regulations SEC Adopts Large Trader Reporting Rule Industry Update SEC Issues No-Action Letter Regar... August 1, 2011 Client Update SEC Adopts Large Trader Reporting Requirements On July 26, 2011, the SEC adopted Rule 13h-1 under the Securities Exchange Act of 1934 to require large trader registratio... July 13, 2011 Client Update Investment Management Regulatory Update - July 2011 On July 12, 2011, the SEC issued an order (the “Order”) that raises the dollar amount thresholds in the assets-under-m... June 29, 2011 Client Update SEC Issues Final Rules Implementing Dodd-Frank Amendments to the Investment Advisers Act of 1940 On June 22, 2011, the SEC issued final rules and rule amendments to implement provisions of Title IV of the Dodd-Frank Wal... Load More
October 7, 2011 Client Update Leaked Volcker Release – Proprietary Trading On Wednesday, October 5, the American Banker made public a September 30 draft of the imminent interagency release on the V...
October 5, 2011 Client Update SEC Large Trader Rule: Impact on Corporations and Related Individuals The SEC’s new Large Trader Reporting Rule should be reviewed by corporations and individuals that exercise discretion ov...
October 4, 2011 Client Update Tighter Circuit Breakers in Equities Markets The stock markets have proposed to tighten the market-wide circuit breakers that halt trading in the equity markets. The p...
September 19, 2011 Client Update Investment Management Regulatory Update - September 2011 On August 31, 2011, the SEC issued a concept release (the “Derivatives Concept Release”) soliciting public comment on ...
September 7, 2011 Client Update Federal Reserve Interim Final Rule Adopts Regulations for Savings and Loan Holding Companies On August 12, 2011, the Board of Governors of the Federal Reserve System (the “Board”) issued an interim final rule se...
September 2, 2011 Client Update SEC Seeks Public Comment on Mutual Fund Derivatives Use and Asset-Backed Issuers and Mortgage-Related Pools under the Investment Company Act On August 31, 2011, the SEC issued (i) a concept release (the “Derivatives Concept Release”) soliciting public comment...
August 12, 2011 Client Update Investment Management Regulatory Update - August 2011 SEC Rules and Regulations SEC Adopts Large Trader Reporting Rule Industry Update SEC Issues No-Action Letter Regar...
August 1, 2011 Client Update SEC Adopts Large Trader Reporting Requirements On July 26, 2011, the SEC adopted Rule 13h-1 under the Securities Exchange Act of 1934 to require large trader registratio...
July 13, 2011 Client Update Investment Management Regulatory Update - July 2011 On July 12, 2011, the SEC issued an order (the “Order”) that raises the dollar amount thresholds in the assets-under-m...
June 29, 2011 Client Update SEC Issues Final Rules Implementing Dodd-Frank Amendments to the Investment Advisers Act of 1940 On June 22, 2011, the SEC issued final rules and rule amendments to implement provisions of Title IV of the Dodd-Frank Wal...