Division of Investment Management Lists 2013 Accomplishments; Sets 2014 Agenda
The SEC’s Division of Investment Management summarized its activities in 2013, highlighting its intensified rulemaking program, efforts to identify new and emerging risks and its disclosure...
View ArticleHouse Passes Bill to Ease Volcker Rule and other Regulatory Requirements
The U.S. House of Representatives on January 14, 2015, voted (271-154) to pass H.R. 37, the “Promoting Job Creation and Reducing Small Business Burdens Act.” If enacted, the bill, among other things,...
View ArticleSEC Proposes Rule Requiring Hedging Disclosure
On February 9, 2015, the Securities and Exchange Commission (the “Commission”) proposed amendments to its rules to implement Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act...
View ArticleComing Soon: Regulations for Uniform Fiduciary Standard
In testimony before the House Committee on Financial Services on March 24, 2015, SEC Chair Mary Jo White said that she supports a uniform fiduciary standard of conduct for broker-dealers and investment...
View ArticleCFTC Issues No-Action Letters to Smooth the Road Away from the IBORs
On December 17, 2019, three different divisions of the Commodity Futures Trading Commission (“CFTC”) issued no-action letters intended to facilitate the swaps market’s transition away from interbank...
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