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Exemptions Dodd-Frank Wall Street Reform and Consumer Protection Act Office of the Comptroller of the Currency

Troutman Pepper

Description Of The Small Business Investment Company Program Participation By Unleveraged Funds - January 2020

Troutman Pepper 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

Morrison & Foerster LLP

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

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

Mintz - Public Finance Viewpoints

Regulators Approve Final Volcker Rule

After several years and 18,000 comments, yesterday regulators braved a “snow covered” Washington and voted to approve a final rule to prohibit banks from engaging in proprietary trading, known as the Volcker rule. As industry...more

Stinson - Corporate & Securities Law Blog

Volcker Rule Has Vague Guidance About Prohibited Compensation

The so-called Volcker Rule, as required to be implemented by the Dodd-Frank Act, generally prohibits any banking entity from engaging in proprietary trading. The final rule has been adopted by the Office of the Comptroller...more

Morrison & Foerster LLP

OCC Regulations Affecting Bank Note Offerings Become Effective

On January 1, 2013, the new regulations of the Office of the Comptroller of the Currency (the “OCC”) amending Part 16.6 of the OCC’s securities offering rules became effective. These rules govern the exemption from OCC...more

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