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As part of implementing new statutory provisions enacted by the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"), the Commodity Futures Trading Commission (the "CFTC") is proposing rules that would (i) rescind exemptions from commodity pool operator ("CPO") registration under CFTC Rules 4.13(a)(3) and 4.13(a)(4); (ii) reinstate trading criteria for registered investment companies

The Securities and Exchange Commission ("SEC") has proposed new rules and rule amendments under the Investment Advisers Act of 1940 (the "Advisers Act") to implement certain provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act").

For the second time in two weeks, an appellate court has injected a dose of reality into False Claims Act jurisprudence.

On December 4, 2013, the Division of Corporation Finance of the Securities and Exchange Commission ("SEC") issued Compliance and Disclosure Interpretations ("CDIs") addressing several questions that may arise regarding the recently adopted "bad actor" disqualification provisions applicable to offerings relying on Rule 506 of Regulation D under the Securities Act of 1933 (the "Securities Act").

On April 18th, 2012, the Commodity Futures Trading Commission (the "CFTC") and the Securities and Exchange Commission (the "SEC", and together with the CFTC, the "Commissions") adopted joint final rules further defining the terms "swap dealer" ("SD"), "security-based swap dealer" ("SBSD"), "major swap participant" ("MSP"), "major security-based swap participant" ("MSBSP"), and "eligible contract participant" ("ECP") (the "Final Rules").

In light of the escalating violence and the further militarisation of the conflict in Syria, the European Union (EU) further reinforced its economic sanctions against Syria.

Recent activity in Congress has brought forth specific banking reform bills and proposals, but they remain a long way from enactment. In the Senate Banking Committee, for example, a bold omnibus proposal was introduced but then withdrawn for further study after it received strong bipartisan criticism.

FINRA has declared the rule, FINRA Rule 2111, a fairly successful work in progress.

From the first moment SEC Enforcement Director Robert Khuzami proposed an initiative to foster cooperation by individuals in investigations -- in an August 5, 2009 speech to the New York City Bar Association, Khuzami proposed a "Seaboard for individuals" standard that would provide credit to individuals for "extraordinary cooperation" -- observers have eagerly anticipated the unveiling of this policy.

Fried Frank partners Adam D. Summers and Jons Lehmann discuss the evolving fund finance market and the expanding array of liquidity solutions available to fund managers. The Q&A examines critical factors influencing tool selection, lender expectations, and how different strategies align with specific fund structures and investment approaches.

Institutional Shareholder Services Inc., formerly known as RiskMetrics Group ("ISS"), recently released its annual U.S. Corporate Governance Policy Update for the 2011 proxy season, announcing changes to the policies that ISS will use in formulating its voting recommendations.

EMIR entered into force on 16 August 2012, and will require persons who enter into any form of derivative contract to report each contract to a trade repository, and to clear through a CCP those OTC derivatives subject to a mandatory clearing obligation.

Some of the most important questions raised by regulators and commentators in the UK following last year's banking crisis related to board room controls at the institutions concerned.

On December 19, 2011, the staff of the Division of Corporation Finance of the SEC (the "Staff") issued disclosure guidance on promotional and sales material submitted by registrants under Securities Act Industry Guide 5.

On June 21, 2011, the Public Company Accounting Oversight Board issued a concept release (PCAOB Release No. 2011-003) soliciting public comment on possible changes to the current requirements for the form and content of reports on audited financial statements.

The Obama Administration, in one of its first actions involving the financial services industry crisis, imposed new executive compensation restrictions on financial institutions.

The Supreme Court heard oral argument today in Graham County Soil & Water Conservation District v. United States ex rel. Wilson, No. 08-304 ("Graham County II"), where the Court will, for the first time, interpret the "public disclosure" provision in Section 3730(e)(4)(A) of the False Claims Act.

The dawn of a new year marks an important time for companies with SEC reporting obligations to prepare for the upcoming reporting season.