Dodd-Frank Private Equity
CFTC to Address End User Exception December 9
Banking, Derivatives, Energy, Private Equity, Public Companies and Securities The Commodity Futures Trading Commission, or CFTC, will hold a public meeting on Thursday, December 9, 2010, to consider the issuance of proposed rulemakings under the Dodd-Frank Wall Street Reform and Consumer Protection Act on the following topics: Core principles and other requirements for swap execution facilities; End-user exception to mandatory clearing of swaps; Business [...] Read more →
SEC Proposes Rules Regarding Eligibility of Investment Advisers to Register With the SEC
Banking, Broker-Dealer, Investment Advisers, Private Equity Title IV of the Dodd-Frank Act includes many of the amendments to the Investment Advisers Act implemented by the Dodd-Frank Act. These amendments include provisions that... Read more →
A Definition of “Venture Capital” Only the SEC Could Think Of
Investment Advisers, Private Equity The Dodd-Frank Act repealed the “private adviser exemption” contained in section 203(b)(3) of the Investment Advisers Act on which advisers to many venture capital funds... Read more →
SEC Proposes Rules for Private Fund Adviser Exemption
Investment Advisers, Private Equity The Dodd-Frank Act repealed the “private adviser exemption” contained in section 203(b)(3) of the Investment Advisers Act on which advisers to many private equity and hedge... Read more →
Paperwork Galore: SEC Proposes Rules Requiring Public Reporting by Exempt Investment Advisers
Investment Advisers, Private Equity The SEC has proposed rules (Release No. IA-3110) requiring public reporting by exempt investment advisers. The proposed reporting requirements for exempt investment advisers,... Read more →
Federal Reserve Issues Proposal to Implement Volker Rule Conformance Period
Banking, Private Equity The Federal Reserve Board has requested comment on a proposed rule to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act that give banking firms... Read more →
SEC Meeting to Address Investment Advisers Rules on Nov. 19
Derivatives, Private Equity, Public Companies and Securities The Securities and Exchange Commission will hold an open meeting on November 19, 2010. The subject matter of the open meeting will be: The SEC will consider whether to propose... Read more →
First Meeting of Financial Stability Oversight Council
Banking, Insurance, Private Equity The Financial Stability Oversight Council (sometimes referred to as FSOC) convened its first “Official” meeting on October 1, 2010. There’s no lack of political... Read more →
The Volker Rule and Hedge Funds, Private Equity and Venture Capital Funds
Private Equity The “Volker Rule” is named after former Federal Reserve Chairman Paul Volker. Broadly speaking it is a rule against banks making certain speculative kinds of investments if... Read more →
More Clues on the SEC Dodd-Frank Timeline
Banking, Energy, Executive Compensation, Private Equity, Public Companies and Securities SEC Chair Mary Schapiro testified before the Senate Committee on Banking, Housing, and Urban Affairs on September 30, 2010. In so doing she gave more clues on the SEC’s... Read more →