Dodd-Frank Blog
SEC to Examine Significant Percentage of New Hedge Fund Registrants
Investment Advisers Norm Champ, Deputy Director, Office of Compliance Inspections and Examinations at the SEC, gave his insghts as to the SEC’s plans to examine hedge fund sponsors who were required to newly register as investment advisers under the Dodd-Frank Act. According to Mr. Champ, the SEC strategy for these new registrants will include: an initial phase [...] Read more →
Recent CLE Materials – Minnesota Law
Litigation, Uncategorized David Jenson and I recently presented at the Minnesota CLE’s annual Business Law Institute. Our formal 2011 case and statutory summary can be accessed here and our... Read more →
Banking Agencies Clarify Stress Testing and Address Obligations of Community Banks
Banking The Federal Reserve Board, the Office of the Comptroller of the Currency, and the Federal Deposit Insurance Corporation issued final supervisory guidance regarding stress-testing... Read more →
CFPB Considers Rules to Simplify Mortgage Points, Fees and Loan Originator Compensation
Consumer Protection The Consumer Financial Protection Bureau, or CFPM, outlined rules it is considering that would simplify mortgage points and fees and bring greater transparency to the mortgage... Read more →
JOBS Act: Crowdfunding Intermediaries FAQs
Private Equity The SEC has released answers to frequently asked questions about the use of intermediaries pursuant to Title III of the JOBS Act, which can be individually cited as the Capital... Read more →
NYSE Adjusts Listing Qualifications to Accommodate JOBS Act
Public Companies and Securities, Uncategorized The ripple effect of the JOBS Act is beginning to show as the NYSE has proposed to adjust its listing qualification standards to reflect that emerging growth companies, or ECGs, ... Read more →
CFTC Announces Proposed Rulemaking Schedule
Derivatives The CFTC has announced a proposed rulemaking schedule. Some of the highlights include: The end-user exemption and other matters related to mandatory clearing are scheduled for... Read more →
JOBS Act and Other SEC and Dodd-Frank Developments
Public Companies and Securities Jill Radloff and I recently gave a presentation at a CLE session in Minneapolis, Minnesota on the JOBS Act and Other SEC and Dodd-Frank developments. We covered: The repeal of... Read more →
Comments Begin on JOBS Act
Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities, Uncategorized High profile groups have begun to submit comments on the JOBS Act to try and steer rulemaking in the correct direction. The Federal Regulation of Securities Committee, Business... Read more →