NOTE: Webinar December 17: On December 17, I will be participating in a Thomson Reuters webinar entitled " SEC Enforcement Activity and Regulatory Update for Private Equity Funds." The webinar will include an overview of the SBIC licensing program, best practices regarding SEC examinations and an update on recent SEC enforcement actions against private funds. Please feel free to register!
There may be a flurry of activity this week as Congress tries to wrap up its legislative agenda for the year and head home. On Tuesday, five federal agencies will consider the Volcker Rule, which would restrict bank holding companies from investing in private funds and engaging in proprietary trading.
This update contains:
- Guidance recently issued by the SEC on the registration exemption for advisers to venture capital funds;
- A recap of last week's House vote on H.R. 1105;
- A preview of the Volcker Rule vote;
- The Chamber of Commerce's report to reform FSOC; and
- The lawsuit filed against the CFTC's cross-border rule by three financial services organizations
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