SEC Rules and Regulations
SEC Staff Responds to Form ADV Questions Regarding Exempt Adviser Reporting and Financial Industry Affiliations
SEC Staff Issues Guidance on Issues of Intere...
On April 2, 2012, the Board of Governors of the Federal Reserve System (the “Federal Reserve”) issued a Supplemental Notice of Proposed Rulemaking (the “Supplemental NPR”) and req...
Yesterday, the Financial Stability Oversight Council issued its final rule and interpretive guidance setting forth the process by which it will designate a nonbank financial company as sy...
On March 22, 2012, the Senate voted 96-3 to adopt the House version of the Stop Trading on Congressional Knowledge Act (the “STOCK Act”), which most notably extends insider trading la...
By a vote of 380 to 41, the House of Representatives today passed the Jumpstart Our Business Startups (“JOBS”) Act, without further amendment. The JOBS Act will now be sent to Preside...
Yesterday, by a vote of 73 to 26, the U.S. Senate passed the Jumpstart Our Business Startups Act, which was approved by the U.S. House of Representatives on March 8, 2012, but voted to am...
On February 15, 2012, the Securities and Exchange Commission (the “SEC”) issued a final rule release (the “Release”) adopting amendments (the “Amendments”) to Rule 205-3 under...
On February 9, 2012, the Commodity Futures Trading Commission (the “CFTC”) adopted final rule amendments (the “Final Rules”) relating to the registration of commodity pool operato...
On January 19, 2012, the staff of the SEC’s Division of Investment Management released responses (“Responses”) to frequently asked questions about Rule 202(a)(11)(G)-1, the so-calle...
SEC Rules and Regulations
SEC Amends Net Worth Standard for Individual Accredited Investors
SEC Schapiro Seeks Authority to Impose Larger Penalties for Securities Law Violations
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