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1
Fed Opens The Door To Increased Chinese Investment In U.S. Banking Organizations
On May 9, 2012, the Federal Reserve Board ("FRB") released three orders approving investments in the U.S. banking market by entities based in China.
United States
18 May 2012
2
SEC Adopts Final Rules On Advisory Performance Fees
On February 15, 2012, the Securities and Exchange Commission ("SEC") adopted amendments to Rule 205-3 under the Investment Advisers Act of 1940 (the "Advisers Act"), which governs the manner in which investment advisers may enter into a performance-based compensation arrangement with their clients.
United States
2 Mar 2012
3
SEC Finalizes Dodd-Frank Rules Affecting Investment Advisers: The SEC Adopted a Rule To Define 'Family Offices' That Will Be Excluded From the Definition of an Investment Adviser Under the Investment Advisers Act of 1940 (the "Advisers Act")
The Dodd-Frank Act creates a new exclusion from the Advisers Act in Section 202(a)(11)(G) under which "family offices" are not investment advisers subject to the Advisers Act.
United States
3 Aug 2011
4
California Divests Iranian Investors
During summer 2010, many of the developed nations initiated sanctions against Iran, a signal that their political discourse was supported by economic realities.
United States
17 May 2011
5
United States Supreme Court Holds that Gartenberg is the Standard to Assess Whether a Mutual Fund Adviser has Violated Section 36(b) of the Investment Company Act of 1940
On March 30, 2010, the United States Supreme Court decided Jones v. Harris Associates, L.P., No. 08-586, 556 U.S. ___ (2010), addressing the appropriate legal standard for assessing claims against mutual fund investment advisers and their affiliates under Section 36(b) of the Investment Company Act of 1940 ("Section 36(b)").
United States
30 Apr 2010
6
Man On A Wire & The Sequel: FDIC Balances Need For Additional Capital Against Need For Enhanced Supervision
Spurred on by a notable increase in bank failures this year (89 to date) and the resultant decrease in the size of the Federal Deposit Insurance Fund ("Fund") available to resolve new bank failures ($10.4 billion as of June 30, 2009), the FDIC, on Aug. 26, 2009—a mere 48 days after coming out with its proposal—adopted its final Statement of Policy on the Acquisition of Failed Depository Institutions ("SOP").
United States
16 Sep 2009
7
Helping Families Save Their Homes Act Of 2009
The Helping Families Save Their Homes Act of 2009, Pub. L. 111-22 (the "HFSHA") is comprised of eight separate Titles.
United States
24 Jun 2009
8
SEC Proposes Amendments To Adviser Custody Rule And Related Forms
In a release dated May 20, 2009 (the "Release"), the Securities and Exchange Commission ("SEC") proposed amendments to Rule 206(4)-2 (the "Custody Rule") under the Investment Advisers Act of 1940 (the "Advisers Act"), and related forms, which are designed to provide additional safeguards under the Advisers Act when an adviser has custody of client funds or securities.
United States
4 Jun 2009
9
FINRA Proposes To Exempt Market Letters From Pre-Approval Requirement
On Sept. 25, 2008, the SEC issued for comment proposals by FINRA to amend NASD Rules 2210 (Communications with the Public) and 2211 (Institutional Sales Material and Correspondence) [and Incorporated New York Stock Exchange Rule 472 (Communications with the Public)] to exempt "market letters" from FINRA's principal pre-approval requirements.
United States
5 Nov 2008
10
Securities Cross-Trading - ERISA Final Rule
The Pension Plan Protection Act of 2006 added to ERISA a new section 408(b)(19), which provides an exemption for the "cross-trading" of securities between accounts managed by the same investment manager, subject to certain conditions.
United States
3 Nov 2008
11
SEC Adopts Fund Disclosure Requirements Re: Sudan Divestments
As here relevant, the Sudan Accountability and Divestment Act of 2007 (“SDA”) provides registered investment companies (and their related persons) a safe harbor from liability for any action “based solely upon the investment company divesting from, or avoiding investment in, securities issued by persons that the investment company determines . . . conduct or have direct investments in business operations in Sudan.”
United States
9 Jun 2008
12
SEC Proposes New Rule 6c-11 Under The Investment Company Act Of 1940 To Create Certain Exemptions For Exchange-Traded Securities
In March 2008, the Securities and Exchange Commission (SEC) proposed new rules under the Investment Company Act of 1940 (the 40 Act) that would exempt exchange-traded funds (ETFs) from certain provisions of the 40 Act as well as certain SEC rules, and would allow investment companies to more freely invest in ETFs than is currently allowed under the 40 Act.
United States
16 Apr 2008
13
Would A Prudent ERISA Fiduciary Invest In Subprime Mortgage Securities?
In recent years, plaintiffs’ class-action lawyers have creatively attempted to circumvent some of the developing limitations of the securities laws by filing class actions related to stock drops under the Employee Retirement Income Security Act, 29 U.S.C. § 1001.
United States
16 Apr 2008
14
Courts Address Whether Lenders Must Warn Of Fraud
If a lender knows or has reason to believe that a customer/borrower is committing a fraud, does the lender have an obligation to disclose this knowledge to other lenders or customers who may be adversely affected? Tough question, and one that the U.S. Court of Appeals for the Second Circuit grappled with in two recent opinions.
United States
16 Jan 2007
15
Proposed Regulation R Retains Bank Securities Functions
The Securities and Exchange Commission (on Dec.13, 2006) and the Board of Governors of the Federal Reserve System (on Dec. 18, 2006) jointly proposed Regulation R, which would clarify the securities powers of banks under the Gramm-Leach-Bliley Act).
United States
 
10 Jan 2007
16
Federal Reserve Board Acts to Bring Regulation O Into Compliance
The Federal Reserve Board has adopted an interim rule to bring Regulation O—its regulation dealing with bank insider lending—into conformance with Section 601 of the Financial Services Regulatory Relief Act of 2006, which was enacted Oct. 13, 2006.
United States
10 Jan 2007
17
Watershed Day for Regulations Impacting the Outpatient Surgery Industry
There are times when the maxim, "When it rains it pours," is just too apt to avoid. On Tuesday, August 8, 2006, Centers for Medicare & Medicaid Services (CMS) issued two long-awaited rules and reports which will have significant impact on outpatient surgery ventures in which physicians invest and use.
United States
29 Aug 2006
18
Court Allows Asset Sale Fees Based Upon Credit Bid Amount
The U.S. District Court for the Eastern District of Kentucky has affirmed the allowance of fees and the reimbursement of expenses for an investment banker retained by the debtors pursuant to the sale of the debtors’ assets (the "Assets") in an arrangement that provided for fees and expenses to be based, in part, on the amount of the successful credit bid.
United States
25 Aug 2006
19
Third Circuit: ‘Deepening Insolvency’ Is Unrelated To Negligence
The U.S. Court of Appeals for the Third Circuit has shed some light, and perhaps created more confusion, on a topic that has garnered a lot of attention lately—claims for "deepening insolvency."
United States
22 Aug 2006
20
Hedge Fund Regulation After Goldstein
The United States Court of Appeals for the District of Columbia Circuit’s decision in Goldstein v. SEC vacated the Securities and Exchange Commission’s controversial rule on hedge fund regulation and left the future of hedge fund regulation in limbo.
United States
22 Aug 2006
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