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 its review, the concept release covers the accuracy...
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 of Dodd-Frank .
It is a long list. Compliance...
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
The Securities and Exchange Commission is proposing new
rules and rule amendments under the Investment Advisers...
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,
Wednesday, December 1, 2010. The proposed...