Dodd-Frank focuses on the structure of credit rating
agencies, requiring revisions and imposing other requirements in an effort to
resolve the conflicts of interest and other difficulties many believe were at
the center of the market crisis. The article...
by Sutherland's Derivatives and Structured Products Team
Section 1a(47)(E) of the Commodity Exchange Act (CEA), as
amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act
(Dodd-Frank), empowers the Secretary of the Treasury (Treasury...
One of the struggles with implementing a compliance
program for a private equity fund is that the Investment Advisers Act is targeted at retail operations
dealing with relatively liquid investments. Neither fits well with the private
equity model of...
The SEC imposed strict limitations on the ability of
investment advisers to make political contributions when their clients include
government bodies when it issued Rule 206(4)-5 .
They don't want government investment decisions decided campaign...
The SEC has released the text of its proposed new rules
for implementing the whistleblower provisions of Section 21F of the Securities
Exchange Act of 1934: Release
No. 34-63237 .
In fashioning these proposed rules, the Commission has
On October 30, 2013, the SEC announced another whistleblower bounty award under the Dodd-Frank whistleblower program. Although the size of this latest award ($150,000) is relatively modest compared to the recent $14 million award (about which refer here...
Arps, Slate, Meagher & Flom LLP & Affiliates has authored a 200-page
analysis of the Dodd-Frank Act, which will offered as a LexisNexis Emerging Issues
Analysis in the near future. Following is the firm's overview of their
Since enactment of the Dodd-Frank Act, the most
talked-about piece of securitization reform remains in the proposal phase. The
proposed credit risk retention rule mandated under the Act has yet to be
finalized. Most commenters believe that the risk retention...
The Securities and Exchange Commission (the "SEC")
recently completed the first of two Regulation D rulemakings mandated by the
Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the "Dodd-Frank
Act"). The Dodd-Frank...
The Securities and Exchange Commission's Asset Management
Unit has been investigating whether hedge fund managers have overvalued assets
in "side pockets" and then charged investors higher fees based on those
inflated values. A side pocket...
Every year, the Stanford
Law School Securities Class Action Clearinghouse , in conjunction with Cornerstone Research , releases its
annual overview of securities class action lawsuit flings. As I noted in a post
last week, this year's version introduced...
by Cynthia Krus
The U.S. Securities and Exchange Commission ("SEC") has
issued final rules (the "Rules") implementing the whistleblower incentive
program (the "Program") pursuant to Section 922 of the Dodd-Frank Wall Street...
A critical component of the SEC’s whistleblower program is the anti-retaliatory provisions of Exchange Act Section 21F, added to the statute by the Dodd-Frank Act. To implement that provision the Commission promulgated two rules. The first, Exchange...
by Jamie Cain
In a speech (a copy of which can be found here ) at
the recent Futures Industry Association (FIA) conference held in Boca Raton,
Florida, earlier this week, Commodity Futures Trading Commission (CFTC)
Chairman Gary Gensler laid out his...
Please click on the
Attachment: link at the top of the post to view or download the article (415 pages / 10MB)