21,181 results found

Partner Marc Elovitz discusses the SEC's ongoing enforcement priorities for private fund managers, examining heightened scrutiny of fees, expenses, and valuation processes. The conversation explores emerging compliance challenges across side letters, co-investments, continuation vehicles, and the expanding retail access to private markets.

On January 14, the SEC adopted new rules that will require security-based swap data repositories to register with the SEC and prescribe reporting and public dissemination requirements for security-based swap transaction data.

The SEC and CFTC requested comment on a joint proposal to reduce the margin requirement for unhedged security futures positions and to align the margin offset table.

The SEC recently published its 2022 Examination Priorities Letter on the heels of FINRA issuing its 2022 Examination and Risk Monitoring Program Report.

On January 9, the SEC announced its examination priorities for 2014.

The SEC announced that Daniel S. Kahl was named chief counsel of its Office of Compliance Inspections and Examinations, where he will oversee a staff of 15 lawyers and advise OCIE's leadership...

Recent developments indicate a dual focus on regulatory reform for public companies, with the SEC Chairman Paul Atkins prioritizing public offering reforms and President Donald Trump...

The SEC established a "Security-Based Swaps Joint Venture" ("joint venture") among several divisions and offices to coordinate operations relating to security-based swap ("SBS") regulation and the oversight of SBS entities.

In order to provide a longer review period for two applicants to become registered with the SEC as Swap Data Repositories ("SDRs"), the SEC extended the exemption for SDR Rules previously granted on March 18, 2016.

The SEC Division of Investment Management granted no-action relief, allowing certain Puerto Rico retirement plans to participate in "bank-maintained" collective trust funds without requiring the trust to register...

On November 25, the Securities and Exchange Commission (SEC) voted to propose new rules and rule amendments to update the existing regulations on the use of derivatives by registered...

On September 16, the Securities and Exchange Commission adopted amendments to remove credit rating references in Rule 2a-7 and the form that money market funds use to report to the SEC.

On February 25, 2014, the SEC re-opened the comment period on the series of proposed rules commonly referred to as "Regulation AB II."

The SEC Division of Corporation Finance determined that, for the purposes of applying Exchange Act Rules related to "Collar Contracts," an insider will be deemed to own the Corporation Shares underlying...

In an article published in Futures and Derivatives Law Report, Petal P. Walker discusses the blurry line between a virtual currency and an investment contract.

Earlier this week, the SEC proposed revisions to Form PF, a confidential reporting tool used by certain SEC-registered investment advisers to private funds.

The Federal Reserve, OCC, and FDIC have issued concurrent notices of proposed rulemaking that would fundamentally transform the risk-based capital framework for U.S. banking organizations, introducing a new expanded risk-based approach and revising the standardized approach. This whitepaper examines the proposed securitization framework changes, including the replacement of current bifurcated methodologies with a single SEC-SA methodology, new operational criteria for synthetic securitizations, and modifica

On January 25, 2018, the Securities and Exchange Commission Chairman and the Commodity Futures Trading Commission Chairman published a joint op-ed in the Wall Street Journal regarding the regulation of cryptocurrency.