John P. Falco

John P. Falco

Pepper Hamilton LLP

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SEC Approves New Rules to Address Run Risks in Money Market Funds

In This Presentation: - Introduction - Post 2008 Regulatory History - Classifying Money Market Funds - Floating Nav - Liquidity Fees And Redemption Gates - Liquidity Fees -...more

9/16/2014 - Asset Diversification Disclosure Requirements Dodd-Frank Floating NAV Liquidity Fees Money Market Funds Proposed Regulation Redemption Gates SEC Stress Tests

CFTC Adopts Final Harmonization Rules For Registered Investment Companies Dually Registered As Commodity Pool Operators

Eighteen months after amending CFTC Regulation 4.5 to narrow the registered investment company (RIC) exclusion from the definition of commodity pool operator (CPO) and issuing a companion release proposing to amend certain...more

8/14/2013 - CFTC CPO NFA Registration RICs SEC

U.S. District Court Rebuffs ICI Challenge To CFTC Rule 4.5 Amendments

On December 12, 2012, the U.S. District Court for the District of Columbia released its decision in Investment Company Institute v. U.S. Commodity Futures Trading Commission, rebuffing the Investment Company Institute (ICI)’s...more

12/14/2012 - CEA CFTC CPO CTA Investment Adviser

FSOC Recommends and Seeks Comment on Money Market Mutual Fund Reform

On November 13, the Financial Stability Oversight Council (FSOC) voted unanimously to advance its report entitled “Proposed Recommendations Regarding Money Market Mutual Fund Reform.” FSOC was established by the Dodd-Frank...more

11/19/2012

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