On August 23, 2023, the Securities and Exchange Commission (SEC) voted 3-2 to adopt a final set of rules and amendments under the U.S. Investment Advisers Act of 1940 (collectively, the Final Rules) that significantly expand...more
8/24/2023
/ Exempt Reporting Advisers (ERAs) ,
Final Rules ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Proposed Rules ,
Registered Investment Advisors ,
Regulatory Agenda ,
Regulatory Reform ,
Regulatory Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC)
On December 10, 2013, five U.S. financial regulators (the Agencies) adopted a final rule implementing the Volcker Rule. The text of the final rule and its accompanying preamble are available here. The Volcker Rule was created...more
12/12/2013
/ Asset-Backed Securities ,
Banks ,
CEOs ,
Dodd-Frank ,
Exemptions ,
Hedge Funds ,
Market Making ,
Private Equity ,
Reporting Requirements ,
Sovereign Debt ,
Volcker Rule