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Preliminary Results of Dodd-Frank Act Changes to Investment Adviser...
The Securities and Exchange Commission has released some statistics on the effect of Dodd-Frank on the registration of investment advisers (.pdf). March 30, 2012 was the compliance date for several...
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Financial Illiteracy Found in Study of Financial Literacy
“Understanding the needs of investors is critical to carrying out the Commission’s investor protection mission,” said SEC Chairman Mary L. Schapiro. Section 917 of Dodd-Frank required the SEC to study...
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Whistleblower Only Has to Believe There is Something Wrong
Whistleblower rights are growing stronger. The recent award of a reward in excess of $100 million to a whistleblower will certainly attract those looking for financial reward. Dodd-Frank not only...
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First the SEC, Now the CFTC
The Dodd-Frank Wall Street Reform and Consumer Protection Act is getting ready to land its second regulatory punch to private equity funds. The first was the registration requirement with the...
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Dodd-Frank a year on: Where is the compliance industry now?
These are my notes from the Private Fund Compliance Forum 2013. They are live notes, so excuse the typos. David Smolen, Chief Compliance Officer, Silver Lake Brynn Peltz, Partner, Goodwin Procter LLP...
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Action in Congress
Robert Kaiser was granted rare access to the action behind the scenes of the creation of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Act of Congress is an enjoyable study of the...
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Yet Another Rule to Discourage Companies From Going Public
There has always been a tension between regulating the capital markets to protect the public and making capital formation more efficient. While I was focusing on Tuesday’s meeting SEC Advisory...
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Dodd-Frankly, My Dear, I Don’t Give..
Perhaps one day there’ll be another famous movie line: “Dodd-Frankly, my dear, I don’t give…” But probably not. Its not clear if Dodd-Frank has been a success or a failure. It certainly has been a...
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Congress Disapproving The SEC Rule That Congress Made The SEC Make
Dodd-Frank made the Securities and Exchange Commission create a rule on the disclosure of payments by resource extraction issuers. The SEC finally got the rule out this fall. Now Congress is...
View ArticlePrivate Funds and the Economic Growth, Regulatory Relief, and Consumer...
Last week, the Economic Growth, Regulatory Relief, and Consumer Protection Act became law, providing some revisions to Dodd-Frank and some new regulatory wrinkles. Some of those revisions apply to...
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