Exemptions, Securities and Exchange Commission (SEC), Volcker Rule

Marketing Private Funds to U.S. Investors — A Practical Guide for Asia-Based Managers

Morrison & Foerster LLP on 7/6/2023

As the private equity (“PE”) and venture capital (“VC”) funds industry grows and matures in Asia, managers are increasingly looking to market interests in their funds to U.S.-based investors. However, many Asia-based managers...more

Volcker Rule: Community Bank Exemption

Vedder Price on 8/5/2019

On July 9, 2019, the Board of Governors of the Federal Reserve System (the “FRB”), U.S. Commodity Futures Trading Commission, Federal Deposit Insurance Corporation (the “FDIC”), Office of the Comptroller of the Currency (the...more

Regulatory Relief Act Benefits Community and Regional Banks

Holland & Knight LLP on 6/13/2018

• The Economic Growth, Regulatory Relief and Consumer Protection Act (the Act), which engendered substantial bipartisan support and was recently signed into law by President Donald Trump, amends parts of the Dodd-Frank Wall...more

Smaller Issuer Relief in the Financial CHOICE Act

Dorsey & Whitney LLP on 6/12/2017

As noted in the earlier post, the House passed the Financial CHOICE Act yesterday. While the headline-grabbing aspects of the Financial CHOICE Act relate to a repeal of the Volcker Rule and reducing the authority of the...more

The Volcker Rule: Impact of the Final Rule on Foreign Banking Organizations

Morrison & Foerster LLP on 12/12/2013

On December 10, 2013, the Federal Reserve, FDIC, OCC, SEC, and CFTC (the “Agencies”) issued the long-awaited final rule (“Final Rule”) construing the Volcker Rule. The Volcker Rule generally prohibits banking entities — a...more

Volcker Rule Has Vague Guidance About Prohibited Compensation

Stinson - Corporate & Securities Law Blog on 12/11/2013

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

"Insights Special Edition: Dodd-Frank Rulemaking: Volcker Rule and SIFI Proposals: Impact of the Proposed Regulations On...

Skadden, Arps, Slate, Meagher & Flom LLP on 11/17/2011

Securitization has been the focus of many rulemaking initiatives in the wake of the financial crisis. The Volcker Rule is not directly targeted at securitization and expressly states that nothing in it should be construed to...more

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