Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights May 17, 2012 Client Update Investment Management Regulatory Update - May 2012 On April 11, 2012, prior to proposing rules that are required to implement certain aspects of the Jumpstart Our Business S... May 16, 2012 Client Update SEC Approves MSRB Interpretive Notice on Municipal Security Underwriters The Securities and Exchange Commission has approved the Municipal Securities Rulemaking Board’s Interpretive Notice conc... April 20, 2012 Client Update Volcker Rule Conformance Period Guidelines Yesterday, the Federal Reserve issued guidelines clarifying when banking entities must bring their activities, investments... April 19, 2012 Client Update Investment Management Regulatory Update - April 2012 SEC Rules and Regulations SEC Staff Responds to Form ADV Questions Regarding Exempt Adviser Reporting and Financial Ind... April 18, 2012 Client Update SEC Approves Amendments to FINRA Communications Rules The Securities and Exchange Commission has approved a significant overhaul of FINRA’s rules governing members’ communi... April 9, 2012 Client Update Federal Reserve Issues Supplemental Notice of Proposed Rulemaking on Requirements for Determining Whether Companies are Predominantly Engaged in Financial Activities On April 2, 2012, the Board of Governors of the Federal Reserve System (the “Federal Reserve”) issued a Supplemental N... April 5, 2012 Client Update CFTC Adopts Swap Clearing Documentation, Timing and Risk Management Rules On March 20, 2012, the CFTC finalized a package of rules related to swap clearing. The rules set standards for: the arra... April 5, 2012 Client Update JOBS Act Becomes Law Today President Obama signed into law the Jumpstart Our Business Startups Act (the “JOBS Act”). The JOBS Act includes ... April 4, 2012 Client Update FSOC Issues Final Rule on Designation of Systemically Important Nonbank Financial Companies Yesterday, the Financial Stability Oversight Council issued its final rule and interpretive guidance setting forth the pro... March 30, 2012 Client Update The STOCK Act: Implications for Trading on Political Intelligence On March 22, 2012, the Senate voted 96-3 to adopt the House version of the Stop Trading on Congressional Knowledge Act (th... Load More
May 17, 2012 Client Update Investment Management Regulatory Update - May 2012 On April 11, 2012, prior to proposing rules that are required to implement certain aspects of the Jumpstart Our Business S...
May 16, 2012 Client Update SEC Approves MSRB Interpretive Notice on Municipal Security Underwriters The Securities and Exchange Commission has approved the Municipal Securities Rulemaking Board’s Interpretive Notice conc...
April 20, 2012 Client Update Volcker Rule Conformance Period Guidelines Yesterday, the Federal Reserve issued guidelines clarifying when banking entities must bring their activities, investments...
April 19, 2012 Client Update Investment Management Regulatory Update - April 2012 SEC Rules and Regulations SEC Staff Responds to Form ADV Questions Regarding Exempt Adviser Reporting and Financial Ind...
April 18, 2012 Client Update SEC Approves Amendments to FINRA Communications Rules The Securities and Exchange Commission has approved a significant overhaul of FINRA’s rules governing members’ communi...
April 9, 2012 Client Update Federal Reserve Issues Supplemental Notice of Proposed Rulemaking on Requirements for Determining Whether Companies are Predominantly Engaged in Financial Activities On April 2, 2012, the Board of Governors of the Federal Reserve System (the “Federal Reserve”) issued a Supplemental N...
April 5, 2012 Client Update CFTC Adopts Swap Clearing Documentation, Timing and Risk Management Rules On March 20, 2012, the CFTC finalized a package of rules related to swap clearing. The rules set standards for: the arra...
April 5, 2012 Client Update JOBS Act Becomes Law Today President Obama signed into law the Jumpstart Our Business Startups Act (the “JOBS Act”). The JOBS Act includes ...
April 4, 2012 Client Update FSOC Issues Final Rule on Designation of Systemically Important Nonbank Financial Companies Yesterday, the Financial Stability Oversight Council issued its final rule and interpretive guidance setting forth the pro...
March 30, 2012 Client Update The STOCK Act: Implications for Trading on Political Intelligence On March 22, 2012, the Senate voted 96-3 to adopt the House version of the Stop Trading on Congressional Knowledge Act (th...