Latest Dodd-Frank Posts
The “Family Office” Exemption
Private Equity, Public Companies and Securities Another important new exemption is the Act’s amendment of the definition of “investment adviser” in the Advisers Act to exclude “family offices.” The Act also directs the SEC to develop, through rules, regulations, or orders, a definition of “family office” that is consistent with the SEC’s previous exemptive orders and other SEC guidance for family [...] Read more →
CFTC Speaks on Grandfather Petitions
Banking, Derivatives, Energy, Insurance, Uncategorized Late today, the CFTC made its first public announcements regarding how it would handle petitions for the grandfather relief made available by section 723(c) of the Dodd-Frank Act.... Read more →
SEC to Propose Rules on Disclosures Related to Short-Term Borrowings
Banking, Insurance, Public Companies and Securities The SEC has announced that on September 17, 2010 it will hold an open meeting to consider whether to propose rules that would require a public company to provide certain... Read more →
Shareholder Proxy Access Under New Rule 14a-11
Public Companies and Securities The proxy process represents the principal means by which shareholders become informed of and participate in the business to be undertaken at a public company’s annual... Read more →