Hedge funds were a key subject of debate during the passage of Dodd-Frank. While the funds were not tied to the causes of the market crisis, they do represent large pools of assets which can impact the market. Regulators frequently note that they have...
In many instances, the Dodd-Frank Wall Street Reform and Consumer Protection Act
merely set a framework for financial reform and left much of the heavy lifting
to the financial regulatory agencies. The SEC published their agenda for the implementation...
Credit rating agencies, and in particular, nationally recognized statistical rating organizations ("NRSRO"), have been thought by many to be at the center of much of what went on with the market crisis, particularly in the area of structured...
In addition to filing Form ADV with the SEC when they
register with the Securities and Exchange Commission, private fund managers
will also need to start filing Form PF next year.
The amount of information required by Form PF is tiered.
This commentary provides an overview of the status of significant rulemaking developments since the enactment of the landmark Dodd-Frank Wall Street Reform and Consumer Protection Act. It focuses on important issues facing end-users of derivatives and...
by Cary J. Meer, Mark Mehrespand and Ben
On July 1, 2010, the Securities
and Exchange Commission (the "SEC" or "Commission") adopted
Rule 206(4)-5 (the "Rule") under the Investment Advisers Act...
The SEC has now finalized the rules implementing the Investment Advisers Act of 1940 (the " Advisers Act ") changes, which had been issued in proposed form near the end of 2010 following passage of the Dodd-Frank Act earlier that summer. These...