Terry D. Nelson

Terry D. Nelson

Foley & Lardner LLP

Contact  |  View Bio  |  RSS

Latest Posts › Dodd-Frank

Share:

A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement - Assets Under Management by Registered Investment Advisers Have Increased Substantially - Will “Accredited Investor” Definition Be Changed? - Excessive Fee Case Withstands Dismissal -...more

11/3/2014 - Accredited Investors Alternative Mutual Funds Custody Rule Dodd-Frank Enforcement Actions Excessive Fees Falsified Documents Investment Adviser Regulation D SEC

A Compilation of Enforcement and Non-Enforcement Actions

Renewed Call for Investment Adviser User Fees - As we reported in previous editions of our Investment Management Newsletter, various persons have proposed that a user fee be imposed on SEC registered investment...more

8/1/2014 - Compliance Dodd-Frank Enforcement Enforcement Actions Investment Adviser JOBS Act Non-Enforcement OCIE SEC

A Compilation of Enforcement and Non-Enforcement Actions

As reported in the May 2014 edition of Legal News: Investment Management Update, the SEC has made cybersecurity readiness a high-priority item to review when it conducts examinations of registered broker-dealers and...more

7/1/2014 - Affiliated-Business Arrangements Affiliates Broker-Dealer Cybersecurity Dodd-Frank Enforcement Enforcement Actions Investment Adviser Retaliation Sanctions SEC

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 - October 30, 2013

Non-Enforcement Matters: - No Rush to Advertise by Hedge Funds - Updated Guidance From the SEC - Results of Dodd-Frank Legislation on Investment Adviser Registration Numbers Enforcement...more

10/30/2013 - Dodd-Frank Enforcement Enforcement Actions Hedge Funds Investment Adviser Non-Enforcement SEC

A Compilation of Enforcement and Non-Enforcement Actions - December 28, 2012

In This Issue: Non-Enforcement Matters: - New SEC Registrants Under Dodd-Frank to Be Focus of SEC Examination Program - FINRA Rule 5123 Revisited Enforcement Matters: - SEC Accuses...more

12/28/2012 - Board of Directors Dodd-Frank Enforcement Fiduciary Duty FINRA Hedge Funds Investment Adviser SEC

A Compilation of Enforcement and Non-Enforcement Actions - November 30, 2012

In This Issue: Non-Enforcement Matters - SEC Approves New FINRA Rule on Private Placement Offerings - Private Fund Advisers Come Into Compliance With Dodd-Frank Requirements Enforcement Matters - ...more

12/1/2012 - Compliance Dodd-Frank FINRA Hedge Funds Insider Trading Investment Adviser Private Investment Funds SEC

7 Results
|
View per page
Page: of 1