Banking and Finance

Recent Posts

Dodd–Frank Wall Street Reform and Consumer Protection Act Regulation of Hedge Funds
Posted on 2 Sep 2010 by Thomas O. Gorman

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... Read More

The SEC’s Busy Rule-Making Agenda
Posted on 22 Sep 2010 by Doug Cornelius

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... Read More

Dodd-Frank Impact on Credit Rating Agencies
Posted on 24 Aug 2010 by Thomas O. Gorman

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... Read More

Form PF and Private Funds
Posted on 2 Nov 2011 by Doug Cornelius

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. Advisers... Read More

Dodd-Frank Act Rulemakings - End-User Update
Posted on 7 Jun 2011 by Sutherland Asbill & Brennan LLP

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... Read More

The SEC’s Adoption of "Pay-to-Play" Rules for Investment Advisers
Posted on 7 Sep 2010 by K & L Gates LLP

by Cary J. Meer, Mark Mehrespand and Ben Jacqmotte Excerpt: 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... Read More

SEC Finalizes Investment Adviser Rules under Dodd-Frank
Posted on 30 Jun 2011 by Asher Bearman

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... Read More