Securities

Recent Posts

Proposed Changes to Form ADV
Posted on 22 Nov 2010 by Doug Cornelius

The SEC has released its proposed changes to Form ADV to better deal with private fund registration and the exempt, but reporting required of venture capital funds: Release No. IA-3110 The Securities and Exchange Commission is proposing new rules... Read More

Sutherland Alert: Proxy Plumbing: SEC Considers Extensive Renovation Job to the Proxy System
Posted on 4 Aug 2010 by Cynthia M. Krus

On July 14, 2010, the Securities and Exchange Commission (SEC) voted unanimously to issue a concept release seeking public comments on a variety of facets of the U.S. proxy system. Termed "proxy plumbing" because of the extensive nature of... Read More

Sutherland Alert: CFTC Issues Sixth Series of Proposed Rules Under Dodd-Frank Including Rules to Further Define Swap Entities December 2, 2010
Posted on 3 Dec 2010 by Eversheds Sutherland LLP

by The Sutherland Regulatory Reform Task Force Team The Commodity Futures Trading Commission (CFTC) issued its sixth series of proposed rules under the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) at an open meeting held yesterday... Read More

The SEC’s Busy Rule-Making Agenda for Implementation of Dodd-Frank
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