News & Analysis as of

Exemptions Dodd-Frank Wall Street Reform and Consumer Protection Act

Certain Companies that May be Subject to FDIC Orderly Liquidation Authority under Dodd-Frank are Now Subject to Qualified...

by Dechert LLP on

Companies that the Financial Stability Oversight Council (FSOC) believes may be subject to FDIC receivership under the Orderly Liquidation Authority contained in Title II of the Dodd-Frank Act, and certain of their...more

US Securities and Exchange Commission Extends Interim Final Rules Granting Exemptions for Security-Based Swaps

by Shearman & Sterling LLP on

The US Securities and Exchange Commission adopted amendments to the expiration dates in its interim final rules that provided exemptions for certain securities-based swaps...more

Description of the Small Business Investment Company Program Participation by Unleveraged Funds

by Pepper Hamilton LLP on

A Small Business Investment Company (SBIC) is a privately owned and operated company that makes long-term investments in American small businesses and is licensed by the United States Small Business Administration (SBA)....more

California’s Private Fund Adviser Exemption

by Allen Matkins on

Before the enactment of the Dodd-Frank Act in 2010, many advisers to alternative investment vehicles, such as hedge funds, private-equity funds, and venture capital funds relied on the Section 203(b)(3) exemption from...more

CFPB amends commentary on adjustments to exemption thresholds; makes no changes to 2017 thresholds

by Ballard Spahr LLP on

The CFPB has adopted changes to its Reg Z commentary to memorialize the calculation methods used each year to adjust the thresholds for exempt consumer credit transactions and for transactions exempt from the special...more

Blog: Undo Dodd-Frank?

by Cooley LLP on

With Congress and the Presidency soon in Republican control, look for the Financial CHOICE Act (or perhaps an enhanced version) to be re-introduced in the next Congress. The bill, sponsored by Jeb Hensarling, Chair of the...more

Director Cordray Responds To Letter from Senators Seeking Tailored Rulemaking for Community Banks and Credit Unions

by Ballard Spahr LLP on

Last month, a bipartisan group of 70 senators were signatories to a letter sent to Consumer Financial Protection Bureau (CFPB) Director Richard Cordray urging the CFPB to “carefully tailor its regulations to match the unique...more

CFPB Proposes Changes to Higher-Priced Mortgage Loans Exemption Threshold

by Ballard Spahr LLP on

On August 4, 2016 the CFPB published for comment proposed substantive and organizational changes to the Regulation Z Commentary regarding the calculation of the annual exemption threshold  amount for the special appraisal...more

SEC Adopts Payment Disclosure Rules for Companies Engaged in Resource Extraction

by BakerHostetler on

The U.S. Securities and Exchange Commission (the “SEC”) has adopted new rules which require “resource extraction issuers” to disclose annually the type and amount of payments that they (or their subsidiaries or entities under...more

Community Banks Win Exemption From Dodd-Frank Margin Requirements

by McGuireWoods LLP on

Community banks and other small financial institutions will not have to post margin for their noncleared swap transactions. On August 1, 2016, the Federal Reserve Board, the Office of the Comptroller of the Currency, the...more

SEC Adopts Payment Disclosure Rules for Resource Extraction Issuers

by K&L Gates LLP on

On June 27, 2016, the U.S. Securities and Exchange Commission (“SEC”) adopted Rule 13q-1 under the Securities Exchange Act of 1934 (the “Exchange Act”) and amendments to Form SD (Specialized Disclosure Report) (See SEC...more

SEC Proposes Higher Net Worth Threshold for Qualified Clients under the Advisers Act

On Wednesday, May 18, 2016, the U.S. Securities and Exchange Commission (SEC) proposed to increase the net worth threshold for qualified clients from $2 million to $2.1 million. This proposed adjustment is being made...more

CFTC Further Reduces Regulatory Burdens Associated with Commodity Options

by Cozen O'Connor on

On March 16, 2016, the U.S. Commodity Futures Trading Commission (CFTC) took action to further reduce the regulatory requirements associated with commodity trade options through issuance of a final rule that took effect on...more

CFTC Approves Amendment to Trade Options Exemption

by Reed Smith on

The CFTC recently amended its trade option exemption to exclude certain reporting and recordkeeping requirements if a party to the option is a commercial end user of the underlying commodity. The broadened exemption provides...more

No-Action Relief from CFTC Rule 3.10(c)(3) Clearing Requirement

by White & Case LLP on

CFTC grants no-action relief regarding the application of the exemption in CFTC Rule 3.10(c)(3) to swaps that are not subject to a clearing requirement. On February 12, 2016 the Commodity Futures Trading Commission...more

Annual Reports & Best Practices for VCs and Other Exempt Reporting Advisers

by Bryan Cave on

In 2010, the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) created a new classification called “exempt reporting advisers” (ERAs) for advisers who are exempt from investment adviser registration as...more

RMBS Risk Retention is Here

by Dechert LLP on

It's official. Risk retention became effective for residential mortgage-backed securities (“RMBS”) on December 24, 2015. Since the final rules (the “Rules”) were issued, there has been a lot of talk throughout the broader...more

OCIE Extends Exams to Exempt Reporting Advisers

by Dechert LLP on

Marc Wyatt, Director of the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE), indicated on November 20, 2015 that the OCIE staff is now examining “Exempt Reporting Advisers”...more

SEC Adopts Pay Ratio Rule

by Dentons on

The US Securities and Exchange Commission (SEC) has adopted a final rule to implement the requirement of Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank) that public...more

SEC Extends Specified Temporary Relief Related to Security-Based Swaps

On September 15, the SEC issued an order extending temporary exemptions and exceptions from compliance with certain provisions of the Securities Exchange Act of 1934 (Exchange Act) applicable to security-based swaps (SB...more

Alert: SEC Adopts Final Pay-Ratio Rule

by Cooley LLP on

On August 5, 2015, the SEC adopted a final rule to implement Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act, often referred to as the pay-ratio provision. The pay-ratio provision mandates...more

SEC Adopts Final Rules on CEO Pay Ratio Disclosure

by Benesch on

On August 5, 2015, the Securities and Exchange Commission (“SEC”) adopted long-awaited final rules on CEO pay ratio disclosure (the “Rules”), which require that almost every SEC registrant disclose the ratio of the annual...more

SEC Adopts Final Pay Ratio Rules

On August 5, 2015, the Securities and Exchange Commission (SEC) voted 3-2 to approve its controversial pay ratio rules. The rules were adopted pursuant to the mandate of Section 953(b)(1) of the Dodd-Frank Wall Street Reform...more

Dodd-Frank at 4: Where do we go from here?

by Morrison & Foerster LLP on

Where do we go from here? As we mark another milestone in regulatory reform with the fourth anniversary of the enactment of the Dodd-Frank Act, it strikes us that although most studies required to be undertaken by the Act...more

A User's Guide to Volcker Rule Complexities

by Morrison & Foerster LLP on

Increasingly, we receive questions from prospective investors in covered bonds on whether an investment is prohibited or limited under the Volcker Rule, which was adopted by the various agencies under section 619 of the...more

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