Terry D. Nelson

Terry D. Nelson

Foley & Lardner LLP

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Summary of the Volcker Rule

On December 10, 2013, the Board of Governors of the Federal Reserve System, the Office of the Comptroller of the Currency, the Federal Deposit Insurance Corporation, the Securities and Exchange Commission, and the Commodity...more

12/17/2013 - Bank Holding Company Act Banking Crisis Banking Sector CFTC Commodity Sale Agreements Compliance Depository Institutions Derivatives Dodd-Frank FDIC Federal Reserve Financial Instruments Foreign Investment Hedge Funds High-Risk Mortgages Investment Management Nonbank Firms OCC Private Equity Funds Proprietary Trading Risk Assessment Risk Management SEC Security Volcker Rule

A Compilation of Enforcement and Non-Enforcement Actions - May 31, 2013

Board Oversight of Distribution and Financial Intermediaries - One of the SEC’s stated focuses is on payments for “distribution in guise.” Mutual funds are only permitted to pay for distribution of their shares if...more

5/31/2013 - CFTC Conflicts of Interest Enforcement Fund Managers Identity Theft Investment Management Misappropriation Mutual Funds Rule 12b-1 Plans SEC Shareholders Social Media

A Compilation of Enforcement and Non-Enforcement Actions - February 28, 2013

In This Issue: Non-Enforcement Matters - Registered Investment Advisers’ Annual Review of Compliance Policies and Procedures - Mutual Fund Boards and Oversight of Fair Valuation - Mutual Funds and...more

2/28/2013 - CFTC Compliance Enforcement Actions ETFs Insider Trading Investment Adviser Mutual Funds SEC

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