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Article
Compilation of Non-Enforcement Actions - July 2010
On June 30, 2010, the SEC approved a new rule that significantly curtails the pay-to-play practices by investment advisers who seek to provide investment advisory services to public pension and other government plans.
United StatesFinance and Banking
Foley & Lardner LLP
Article
Corporate and Financial Weekly Digest - February 25, 2011
On March 2, the Securities and Exchange Commission will hold an open meeting to discuss, among other matters, whether to propose rules to implement Section 956 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
United StatesFinance and Banking
Katten

FRB Issues Opinion Letter To Investment Adviser Seeking To Have Affiliated Funds Invest In Up To 15% Of Voting Stock Of Banking Organization

The FRB issued an opinion letter to a registered investment adviser (the "Applicant"), advising that it may acquire through a variety of customer accounts and investment funds (together, the "Investors") up to fifteen percent of any class of voting securities of a bank holding company or bank (each, a "Banking Organization") without being deemed to have acquired "control" of the Banking Organization under the Bank Holding Company Act ("BHC Act"), the Change in Bank Control Act ("CIBC Act"), or t

United StatesFinance and Banking

Goodwin Procter LLP

Legal Trading Agreements: As Important Now As In 2008

Although it is unlikely that the recent failure of certain financial institutions will have an impact similar to the collapse of Lehman Brothers in 2008,

United StatesFinance and Banking

Lowenstein Sandler LLP

New Pension Law Changes Plan Asset Rules: Good News for Private Equity Funds and Fund Managers

The Pension Protection Act of 2006 (the "Act") was passed by the House on July 28, 2006 and the Senate on August 3, 2006.

United StatesFinance and Banking

PERE Insights – Tumultuous Times But Time To Plan For Growth? The Utility Of Programmatic Joint Ventures For European Real Estate Investment

Relationships and teamwork are crucial and now, more than ever, they are essential for real estate investors to navigate unchartered waters.

United StatesFinance and Banking

Ropes & Gray LLP

SEC Adopts Fund Disclosure Requirements Re: Sudan Divestments

As here relevant, the Sudan Accountability and Divestment Act of 2007 (“SDA”) provides registered investment companies (and their related persons) a safe harbor from liability for any action “based solely upon the investment company divesting from, or avoiding investment in, securities issued by persons that the investment company determines . . . conduct or have direct investments in business operations in Sudan.”

United StatesFinance and Banking

Secondary Trading Of Limited Partnership Interests In Private Equity Funds - Recent Developments

Much of the private equity activity in 2008 and the first half of 2009 has consisted of secondary purchases and sales of limited partnership interests in private equity funds.

United StatesFinance and Banking

Foley & Lardner LLP

Recent Developments on California Lobbyist Registration Requirements Applicable to Certain Placement Agents

The California Fair Political Practices Commission (FPPC) recently released two Advice Letters, dated April 7, 2011, and April 20, 2011, setting forth certain clarifications with respect to AB 1743, which was signed into law on September 30, 2010.

United StatesGovernment, Public Sector

Broker-Dealer Supervision Update

The U.S. Securities and Exchange Commission (SEC) had an active first calendar quarter, announcing 10 settled enforcement actions sanctioning failures to supervise.

United StatesStrategy

Foley & Lardner LLP

DOL Issues Further Guidance On New Annual Reporting Requirements For Investment Fund Service Provider Compensation

On July 14, 2008, the Department of Labor (DOL) issued FAQs (frequently asked questions) intended to help with the administration and implementation of new annual reporting requirements issued on November 16, 2007, in the form of a revised Form 5500, applicable to most ERISA plans.

United StatesStrategy

Fred Wilson's Challenge: $5K To Raise $1mm

I have been giving some thought to Fred Wilson’s recent post, "A Challenge to Start Up Lawyers".

United StatesStrategy

Hedge Fund Transparency Act Of 2009: Congress Considers Expansion Of Investment Fund Regulation

On January 29, 2009, Senators Chuck Grassley (R-Iowa) and Carl Levin (D-Michigan) introduced the Hedge Fund Transparency Act of 2009 (the "HFTA," S. 334 of the 111th Congress).

United StatesStrategy

How Leaders Are Creating Value Through Digital Investment

Among disruptive forces, digital innovation is a special beast—enormous, ubiquitous, affecting every aspect of an enterprise's operations.

United StatesStrategy

AlixPartners Asia LLC

OCC Further Clarifies Lending Preemption Regulation

The OCC issued a series of Interpretive Letters that further clarify the scope of its recent regulation (the "Preemption Regulation") (described in the January 13, 2004 <I>Alert</I>) concerning federal preemption of state lending laws. Letter 998 confirms that state anti-discrimination laws are not preempted across the board by the Preemption Regulation, but rather would be considered as to preemption on a case-by-case basis.

United StatesStrategy

Goodwin Procter LLP

SEC Amends Rule 12g3-2(b) Exemption

On March 21, the U.S. Securities and Exchange Commission ("SEC") voted to adopt a new rule enabling foreign private issuers ("FPIs") to use a trading volume benchmark, instead of the traditional headcount of U.S. shareholders, to determine eligibility to deregister a class of equity securities and terminate their reporting obligations under the Securities Exchange Act of 1934 ("Exchange Act").

United StatesStrategy

Pillsbury Winthrop Shaw Pittman

SEC Votes to Propose Hedge Fund Adviser Registration

The SEC voted to propose new Rule 203(b)(3)-2 (the "Proposed Rule") under the Investment Advisers Act of 1940, as amended (the "Advisers Act"), which is designed to require advisers to certain unregistered funds to register under the Advisers Act.

United StatesStrategy

Goodwin Procter LLP

The Six Investment Principles To Apply To Win In Litigation

At first blush, time-honoured investment principles and the principles to be applied in getting good legal outcomes seem worlds apart.

United StatesStrategy

Seyfarth Shaw LLP

Proskauer's Hedge Start: Seed Investments

Seed investment deals between a new hedge fund manager and a seed investor can be a key first step to launching a first fund.

United StatesTax

Proskauer Rose LLP

Recent Legislation May Impact Offshore Hedge Fund Deferral Arrangements

Congress enacted Section 409A of the Internal Revenue Code as part of the American Jobs Creation Act of 2004 to restrict certain deferred compensation arrangements. The IRS recently issued Notice 2005-1, 2005-2 IRB 274, clarifying certain aspects of the statute, and additional guidance is expected throughout 2005.

United StatesTax

Goodwin Procter LLP

Showing 801–820 of 1814 results

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