A Regulatory Reform Glossary

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Since the financial crisis, financial institutions have been required to address significant regulatory changes. The new regulatory framework in the United States and Europe has introduced a series of new terms. This brief glossary is intended to serve as a helpful summary of frequently used terms. It is by no means comprehensive, and should be read with our Dodd-Frank Act, Basel III, EMIR/MiFID resources made available on our website.

- 1933 Act: U.S. Securities Act of 1933, as amended. Also, the Securities Act.

- 1934 Act: U.S. Securities Act of 1934, as amended. Also, the Exchange Act.

- 1940 Act: Investment Company Act of 1940...

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations. Attorney Advertising.

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