Carl Ayers
The staff recently was asked for its views on whether the 3.8% tax should be included in determining the highest individual marginal federal income tax ...
This rule delegates certain Commission work to its general counsel.
The staff is aware that certain private funds that plan to elect status as business development companies under the Investment Company Act (“Planned BDCs”), hold ...
The staff has received inquiries asking whether a CFTC-registered adviser may rely on the exemption provided by new Section 203(b)(6)(B) if it advises a private ...
In this final rule, the CFTC makes changes to the Commodities Exchange Act to accommodate the changes due to the Dodd-Frank reform law that established ...
This rule sets forth the maximum, inflation-adjusted dollar amount for civil monetary penalties assessable for violations of the Commodity Exchange Act.
Since section 12(d)(1)(G) was adopted, we have received inquiries about whether a fund that intends to operate in reliance on that section is required to ...
The staff recently was asked for its views on the following situation: a fund had separate administration and advisory agreements and its board wanted to ...