May 15, 2013 NYSE and NASDAQ Listing Standards on Compensation Committees and Advisors Set to Go Into Effect on July 1, 2013
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May 2, 2013 SEC and CFTC Adopt Identity Theft Red Flag Rules
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March 27, 2013 Survey of CFTC Relief
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November 21, 2012 FSOC Proposes Money Market Fund Structural Reforms
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October 17, 2012 CFTC Excludes Certain Securitization Vehicles From Definition of Commodity Pool and Extends Registration Deadline For Certain CPOs and CTAs
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October 10, 2012 Bank Regulatory Agencies Adopt Final Rules For Stress Tests Using Two-Tiered Implementation Process
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October 5, 2012 CFTC Amends CPO and CTA Rules; NFA Adopts Test Waiver and Swap Designation For Members
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October 1, 2012 Court Vacates and Remands CFTC Position Limit Rule
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August 23, 2012 CFTC and SEC Adopt Definition of “Swap” and “Security-Based Swap”
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August 20, 2012 ISDA August 2012 Dodd-Frank Protocol
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August 15, 2012 CFTC Releases Guidance For CPOs and CTAs
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July 18, 2012 CFTC Provides Temporary Relief For CPOs and CTAs
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June 29, 2012 National Futures Association Establishes Pre-Filing System For CPOs and CTAs
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June 25, 2012 U.S. Legislation Further Opens U.S. Capital Markets to Non-U.S. Issuers
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May 31, 2012 CFTC Proposes Modifications To Position Limit Aggregation Rules
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May 8, 2012 Swap Dealer and Security-Based Swap Dealer Defined
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May 8, 2012 CFTC Adopts Final Definition of ECP
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May 2012 Financial Stability Oversight Council Releases Final Rule Regarding Designation Of Nonbank Financial Companies
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April 9, 2012 Financial Stability Oversight Council Releases Final Rule Regarding Designation of Nonbank Financial Companies
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April 5, 2012 Will The CFTC Adopt A Family Office Exemption?
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March 27, 2012 FDIC Clarifies Treatment of Contracts of Subsidiaries and Affiliates of Covered Companies Under The Dodd-Frank Act
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March 27, 2012 CFTC Proposes Harmonization Rules For Mutual Funds
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March 7, 2012 CFTC Adopts Final Business Conduct Standards For Swap Dealers & Major Swap Participants
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March 7, 2012 New Swap Data Recordkeeping and Reporting Rules
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February 24, 2012 CFTC Reinstates Restrictions on Registered Investment Companies
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February 22, 2012 SEC Amends Rule on Adviser Performance Fees
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February 17, 2012 CFTC Adopts CPO and CTA Reporting Rules
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December 30, 2011 SEC Adopts Net Worth Standard For Accredited Investors Under Regulation D
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November 17, 2011 CFTC Adopts Final Rules On Position Limits
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November 16, 2011 SEC and CFTC Adopt Private Fund Reporting Rules
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October 27, 2011 SEC Adopts Private Fund Reporting Rules and Form PF
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October 21, 2011 Financial Stability Oversight Council Releases Proposed Rule Regarding Designation of Nonbank Financial Companies
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October 19, 2011 CFTC Adopts Final Rules on Position Limits; Independent Account Controller Exemption Retained
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September 22, 2011 Internal Revenue Service Proposes Regulations Defining Scope of Exclusion of Swaps From Section 1256 and Revising Definition of Notional Principal Contracts
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July 22, 2011 Second Circuit Issues Long-Awaited Opinion In CSX Litigation
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July 15, 2011 CFTC Provides Temporary Dodd-Frank Relief
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July 8, 2011 FDIC Issues Final Rule on Orderly Liquidation Authority
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July 5, 2011 SEC Adopts Rule Defining “Venture Capital Fund” For Purposes of Exemption From The Investment Advisers Act
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June 30, 2011 SEC Adopts Rules Implementing Dodd-Frank Investment Adviser Exemptions and Registration Requirements
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June 29, 2011 SEC Adopts Rule Defining “Family Office” For Purposes of Exclusion From The Advisers Act
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June 22, 2011 SEC Extends Adviser Registration Deadline, Adopts Dodd-Frank Amendments To Investment Advisers Act
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June 15, 2011 SEC Proposes To Disqualify Certain Persons From Reliance On Private Placement Safe Harbor
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June 1, 2011 SEC Proposes To Increase Thresholds For Adviser Performance Fees
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May 27, 2011 SEC Adopts Final Rules For Whistleblower Claims; Exclusions From Potential Whistleblowers Significantly Cut Back
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May 18, 2011 Recordkeeping and Reporting For Historical Swaps
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May 4, 2011 Treasury Proposes To Exclude FX Swaps and FX Forwards From Most CFTC Oversight
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April 11, 2011 SEC Expects To Consider Extending The Private Adviser Registration Deadline Until The First Quarter of 2012
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April 5, 2011 Proposed Risk Retention and Excess Spread Reserve Account Requirements For Securitized Commercial Mortgages
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March 21, 2011 SEC Proposes to Readopt Beneficial Ownership Rules to Clarify Treatment of Security-Based Swaps Under The Dodd-Frank Act
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March 17, 2011 FDIC Proposes New Orderly Liquidation Authority Rules Addressing Executive Compensation Clawback Priority of Claims and Administrative Claims Procedures
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March 10, 2011 SEC Approves Proposed Rule Regarding Financial Institutions’ Incentive-Based Compensation
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March 4, 2011 SEC Files Contested Administrative Proceeding Against Former Director For Insider Trading
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February 28, 2011 SEC and CFTC Propose Private Fund Reporting Rules; Agencies Introduce New Forms PF, CPO-PQR AND CTA-PR; CFTC Proposes To Limit Registration Exemptions
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February 15, 2011 Federal Reserve Board Proposes Rule On Key Definitions Covering Regulation of Nonbank Financial Companies
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February 15, 2011 Proposed Definitions of Major Swap Participant and Major Security-Based Swap Participant
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February 14, 2011 Proposed Definitions of Swap Dealer and Security-Based Swap Dealer
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February 2, 2011 Commodity Pools As ECPs After The Dodd-Frank Act
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January 28, 2011 Financial Stability Oversight Council Releases Notice of Proposed Rulemaking Regarding Supervisory Authority Over Certain Nonbank Financial Companies
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January 26, 2011 SEC Proposes Rules to Clarify Accredited Investor Net Worth Standard
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January 26, 2011 Financial Stability Oversight Council Publishes Study & Recommendations On Prohibitions On Proprietary Trading & Certain Relationships With Hedge Funds & Private Equity Funds
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January 26, 2011 Commodity Futures Trading Commission Proposes To Repeal Exemptions
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January 20, 2011 SEC Investigating Financial Industry’s Compliance with the Foreign Corrupt Practices Act When Dealing With Sovereign Wealth Funds
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December 6, 2010 SEC Issues Proposed Rules For Whistleblower Claims
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December 3, 2010 CFTC Seeks Comments On Trading Practices
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November 23, 2010 SEC Proposes Rules Implementing Dodd-Frank Investment Adviser Registration and Reporting Requirements
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November 1, 2010 CFTC and SEC Adopt Interim Swaps Reporting Rules
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October 15, 2010 SEC Proposes Rule Defining “Family Office”
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October 5, 2010 SEC Delays Effectiveness of “Proxy Access” Rules
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September 29, 2010 Practical Implications of “Proxy Access” For Mutual Funds
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August 26, 2010 Insurance Industry Implications of The Dodd-Frank Act
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July 27, 2010 Dodd-Frank Provisions Address Executive Compensation and Corporate Governance
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July 26, 2010 Key Provisions of The Dodd-Frank Act Broadly Implicate FCPA Compliance Issues, Reward Whistleblowing For Securities Law Violations, and Require Reports of Certain Foreign Payments
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July 23, 2010 The Wall Street Transparency and Accountability Act: Implications For Derivatives Markets Participants
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July 23, 2010 The Dodd-Frank Act Overhauls The Regulation of Private Fund Managers and Other Money Managers
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July 21, 2010 Immediate Change In Accredited Investor Requirements In Dodd-Frank Act
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