Dodd-Frank.com

FSOC Releases Study on Volcker Rule

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As mandated by the Dodd-Frank Act, the Financial Stability Oversight Council, or FSOC, conducted a study on how best to implement Section 619 of the Dodd-Frank Act (commonly known as the “Volcker Rule”).  The FSOC’s study puts forward recommendations designed to effectively and comprehensively implement the Volcker Rule in a... Read More

Topics: Banking, Private Equity

CFTC to Address End User Exception December 9

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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... Read More

Topics: Banking, Derivatives, Energy, Private Equity, Public Companies and Securities

SEC Proposes Rules Regarding Eligibility of Investment Advisers to Register With the SEC

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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 reallocate responsibility for oversight of investment advisers by delegating generally to the states responsibility over certain mid-sized advisers, i.e., those that have between $25... Read More

Topics: Banking, Broker-Dealer, Investment Advisers, Private Equity

A Definition of “Venture Capital” Only the SEC Could Think Of

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 The Dodd-Frank Act repealed the “private adviser exemption” contained in section 203(b)(3) of the Investment  Advisers Act on which advisers to many venture capital funds vehicles had relied in order to avoid registration under the Investment Advisers Act.  Section 407 of the Dodd-Frank Act created an exemption from registration under... Read More

Topics: Investment Advisers, Private Equity

Paperwork Galore: SEC Proposes Rules Requiring Public Reporting by Exempt Investment Advisers

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The SEC has proposed rules (Release No. IA-3110) requiring public reporting by exempt investment advisers.  The proposed reporting requirements for exempt investment advisers, which are not necessarily required under the Dodd-Frank Act, will impose substantial burdens on exempt investment advisers.  The Dodd-Frank Act neither specifies the types of information the... Read More

Topics: Investment Advisers, Private Equity