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Dodd-Frank Wall Street Reform and Consumer Protection Act Investment Adviser Private Investment Funds

The Dodd-Frank Wall Street Reform and Consumer Protection Act is a United States federal statute signed into law on July 21, 2010. The Act was passed in response to the Great Recession of the late 2000s and... more +
The Dodd-Frank Wall Street Reform and Consumer Protection Act is a United States federal statute signed into law on July 21, 2010. The Act was passed in response to the Great Recession of the late 2000s and includes broad reforms related to many aspects of the financial and banking industry. Notable sections of the Act include stricter regulations of the derivatives market, as well as the Volcker Rule, which restricts the trading practices of FDIC-insured institutions.    less -
Cole Schotz

Fifth Circuit Strikes Down SEC Rule Regulating Private Investment Funds

Cole Schotz on

On June 5, 2024, a three judge panel of the U.S. Fifth Circuit Court of Appeals unanimously struck down the Securities and Exchange Commission’s (“SEC”) final rule, which created onerous restrictions for managers of private...more

BCLP

Fifth Circuit Court of Appeals Vacates the SEC’s Private Fund Adviser Rules

BCLP on

On June 5, 2024, a three-judge panel of the Fifth Circuit Court of Appeals (the “Court”) vacated the Private Fund Adviser Rules (“PFAR”) that the Securities and Exchange Commission (the “SEC”) had adopted by a divided vote in...more

WilmerHale

FinCEN Proposes AML Requirements for Registered Investment Advisers

WilmerHale on

The Financial Crimes Enforcement Network (FinCEN) has proposed long-expected regulations that would extend anti-money laundering (AML) requirements to federally registered investment advisers (RIA). The August 25, 2015...more

Stinson - Corporate & Securities Law Blog

SEC Staff Report Relating To The Use Of Data Collected From Form PF

The Dodd-Frank Act provided the SEC with new authority, and directed it to use this authority to require registered investment advisers to maintain records and file reports regarding the hedge funds, private equity funds and...more

Morrison & Foerster LLP

New Freedoms & Heightened Scrutiny Complicate the US Private Fund Marketing Environment

Originally published in CorporateLiveWire on February 21, 2013. The last few years have witnessed tectonic shifts in U.S. laws and regulations that effect the management and operations of hedge funds, private equity...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions - November 30, 2012

Foley & Lardner LLP on

In This Issue: Non-Enforcement Matters - SEC Approves New FINRA Rule on Private Placement Offerings - Private Fund Advisers Come Into Compliance With Dodd-Frank Requirements Enforcement Matters - ...more

Foley Hoag LLP

July, 21, 2010: Dodd-Frank Act Signed into Law & SEC Commissioners Approve Amendments to Form ADV, Part 2

Foley Hoag LLP on

In This Issue: *Dodd-Frank Act Signed into Law *SEC Commissioners Approve Amendments to Form ADV, Part 2 ...more

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