SEC Rules and Regulations
SEC Adopts Private Fund Systemic Risk Reporting Rule
SEC Proposes Rules on the Registration of Security-Based Swap Dealers and Major Security-Based Swap P...
On October 26, 2011, the Securities and Exchange Commission (the “SEC”) voted unanimously to adopt a new rule under the U.S. Investment Advisers Act of 1940 (the “Advisers Act”) t...
The Financial Stability Oversight Council recently approved a proposed rule and guidance setting out the metrics and process it would use to designate a nonbank financial company as syste...
Industry Update
Regulators Release Proposed Regulations Implementing the Volcker Rule
SEC Grants No Action Relief from Pay-to-Play Recordkeeping Requirements
SEC Plans to Consider ...
On August 31, 2011, the SEC issued a concept release (the “Derivatives Concept Release”) soliciting public comment on the use of derivatives by registered investment companies under t...
On August 31, 2011, the SEC issued (i) a concept release (the “Derivatives Concept Release”) soliciting public comment on the use of derivatives by registered investment companies und...
SEC Rules and Regulations
SEC Adopts Large Trader Reporting Rule
Industry Update
SEC Issues No-Action Letter Regarding Compliance with the Independent Accountant Requirements Unde...
On July 26, 2011, the SEC adopted Rule 13h-1 under the Securities Exchange Act of 1934 to require large trader registration and reporting. The rule requires persons who directly or indire...
On July 12, 2011, the SEC issued an order (the “Order”) that raises the dollar amount thresholds in the assets-under-management and net worth tests in the definition of “qualified c...
On June 22, 2011, the SEC issued final rules and rule amendments to implement provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act that exempt certain a...
