News & Analysis as of

Volcker Rule › Securities and Exchange Commission (SEC)

The Volcker Rule is a rule limiting certain financial institutions' ability to own, invest or sponsor hedge funds, private equity or other proprietary trading operations. The Rule seeks to separate financial... more +
The Volcker Rule is a rule limiting certain financial institutions' ability to own, invest or sponsor hedge funds, private equity or other proprietary trading operations. The Rule seeks to separate financial institutions' proprietary trading activity from consumers' FDIC- insured deposits. The Volcker Rule is a part of the broader Dodd-Frank Wall Street Reform and Consumer Protection Act and aims to diminish potential conflicts of interest between banks and consumer clients. less -
Morrison & Foerster LLP

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

Morrison & Foerster LLP on

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

King & Spalding

Checklist for Non-U.S. Fund Managers Making a Private Fund Offering in the U.S.

King & Spalding on

The United States represents a large source of potential capitalthat non-U.S. fund managers often find impossible to ignore. To assist non-U.S. fund managers, we have prepared a checklist that sets out key considerations for...more

Mayer Brown

Structured Finance Bulletin - Winter 2020

Mayer Brown on

The implications of the 2020 election for structured finance are coming into focus. Informed by our discussions in Washington, we can anticipate the likely direction of federal policy over the next two years that will impact...more

Orrick - Finance 20/20

Regulatory Agencies Finalize Changes to Covered Fund Provisions of the Volcker Rule

Orrick - Finance 20/20 on

On July 31, the Office of the Comptroller of the Currency (OCC), the Board of Governors of the Federal Reserve System (FRB), the U.S. CFTC, the Federal Deposit Insurance Corporation (FDIC), and the U.S. Securities and...more

Kelley Drye & Warren LLP

The Final Volcker Rule: Implications for Venture Capital

Kelley Drye & Warren LLP on

Introduction - As we approach the final quarter of 2020, we thought it would be helpful to recap one of the significant rule changes of the past few months that is likely to benefit venture capital funds and startup...more

Morrison & Foerster LLP

Marketing Private Funds To U.S. Investors — A Practical Guide For Asia-Based Managers

Morrison & Foerster LLP on

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

Dechert LLP

Volcker Rule Amendment: Trending Towards Flexibility

Dechert LLP on

After much anticipation and expectation, on June 25, 2020, the Federal Reserve Board, CFTC, FDIC, OCC, and SEC (the “agencies”) finalized an amendment to Section 13 of the Bank Holding Company Act, commonly known as the...more

Dechert LLP

Federal Agencies Adopt Amendments to Volcker Rule

Dechert LLP on

The Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System (Board), the Federal Deposit Insurance Corporation, the Securities and Exchange Commission and the Commodity Futures Trading...more

Orrick, Herrington & Sutcliffe LLP

Recent Amendments to the Volcker Rule Will Benefit CLOs and the Banks That Invest in Them

Orrick, Herrington & Sutcliffe LLP on

There is some (at least regulatory) good news for CLOs this summer. In late June, the Federal Reserve Board, the Treasury Department, the Office of the Comptroller of the Currency, the Federal Deposit Insurance Corporation,...more

Proskauer Rose LLP

Volcker Rule Amendments: Implications for Asset Managers

Proskauer Rose LLP on

On June 25, 2020, the Federal Reserve Board, the OCC, the FDIC, the SEC and the CFTC (collectively, the "Agencies") adopted amendments (the "Amendments") to the regulations implementing section 13 of the Bank Holding Company...more

Jones Day

Volcker Rule Covered Fund Amendments Provide Clarity and Opportunities

Jones Day on

The Situation: The Federal Reserve, Office of the Comptroller of the Currency ("OCC"), Federal Deposit Insurance Corporation ("FDIC"), Securities and Exchange Commission ("SEC"), and Commodity Futures Trading Commission...more

A&O Shearman

Volcker Rule Update: Amendments to the Covered Funds Provisions

A&O Shearman on

The Federal Reserve Board (the Federal Reserve), the Office of the Comptroller of the Currency (OCC), the Federal Deposit Insurance Corporation (FDIC), the Securities and Exchange Commission (SEC) and the Commodity Futures...more

Goodwin

U.S. Federal Agencies Finalize Revisions to Volcker Rule Covered Funds Restrictions

Goodwin on

The five U.S. federal regulatory agencies responsible for implementing the Volcker rule — the Board of Governors of the Federal Reserve System (Federal Reserve), the Office of the Comptroller of the Currency (OCC), the...more

Manatt, Phelps & Phillips, LLP

Volcker Rule Changes Provide Stimulus Effect With Banks and Investment Funds

Manatt, Phelps & Phillips, LLP on

On June 25, 2020, federal banking and securities regulators issued new regulations that will ease burdens on banks that involve themselves with certain types of investment funds. By creating new exclusions from the definition...more

Morrison & Foerster LLP

Agencies Finalize Amendments To Volcker Rule Covered Fund Provisions

Morrison & Foerster LLP on

On June 25, 2020, five federal agencies (the “Agencies”) finalized amendments to the rules implementing section 13 of the Bank Holding Company Act of 1956 (the “Volcker Rule”) related to the prohibition on investing,...more

Nutter McClennen & Fish LLP

Nutter Bank Report: June 2020

Nutter McClennen & Fish LLP on

Federal Regulators Ease Restrictions on Volcker Rule Covered Funds  The federal banking agencies, along with the SEC and the CFTC, have issued a final rule to amend the regulations that implement Section 13 of the Bank...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on New Disclosure Guidance From the SEC, Changes to Initial Margin Rules...

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SEC/CORPORATE - SEC Division of Corporation Finance Issues Additional Disclosure Guidance Related to COVID-19 Pandemic - On June 23, the Division of Corporation Finance (the Division) of the Securities and Exchange...more

White & Case LLP

COVID-19 Response: US Federal Regulatory (Updated April 28, 2020)

White & Case LLP on

In response to the global COVID-19 crisis, US federal financial regulators are taking important actions that affect US and non-US financial institutions, other financial services providers, consumers, and the US and global...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on SEC Issues New Compliance and Disclosure Interpretations Related to...

Katten Muchin Rosenman LLP on

SEC Division of Corporation Finance Issues New C&DIs about the SEC’s Conditional Relief Order and Compliance with Rule 12b-25 - On March 31, the Securities and Exchange Commission’s (SEC) Division of Corporation Finance...more

K&L Gates LLP

Volcker Revamp Viewed Vividly: What You Need to Know About the Agencies’ Proposal to Modify Restrictions on Covered Funds

K&L Gates LLP on

On January 30, 2020, the Board of Governors of the Federal Reserve System, the Board of Directors of the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, the Securities and Exchange...more

Vedder Price

Investment Services Regulatory Update - February 2020

Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts – PROPOSED RULES – Agencies Propose Volcker Rule Amendments Relating to Covered Funds – On January 30, 2020, the Federal Reserve Board, FDIC, OCC, SEC and CFTC proposed...more

Nutter McClennen & Fish LLP

Nutter Bank Report: February 2020

Nutter McClennen & Fish LLP on

Federal Reserve Revises Framework for Determining Control of a Banking Organization The Federal Reserve has adopted a final rule to simplify and clarify its regulations for determining control of a banking organization for...more

Vedder Price

Agencies Propose Volcker Rule Amendments Relating to Covered Funds

Vedder Price on

On January 30, 2020, the Federal Reserve Board, FDIC, OCC, SEC and CFTC proposed amendments to certain Volcker Rule restrictions relating to banking entity activities with hedge funds or private equity funds (covered funds)....more

Mayer Brown Free Writings + Perspectives

US Agencies Proposed Revisions to Volcker Rule Covered Funds Provisions

Mayer Brown Free Writings + Perspectives on

On January 30, 2020, the Board of Governors of the Federal Reserve System (“FRB”), the Federal Deposit Insurance Corporation (“FDIC”), the Office of the Comptroller of the Currency (“OCC”), the Securities and Exchange...more

King & Spalding

Covered Funds May Cover Less

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The federal agencies responsible for the Volcker Rule have proposed to clarify some requirements for exclusion from the definition of “covered fund” and to increase the types of funds excluded from that definition. The...more

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