This is the main SEC rule affecting investment advisers due to the Dodd-Frank reform law. This was passed in June 2011 and appeared in the ...
This interim final rule from July 2011 provides exemptions for security-based swaps due to Dodd-Frank.
This is the SEC's final rule from June 2011 that defines family offices for purposes under the Dodd-Frank law to permit the offices from being ...
This is the SEC final rule from June 2011 that spells out exemptions for venture capital funds, private fund advisers with fewer than $150 million ...
The SEC issued this no-action letter permitting a private equity entity or one of its funds to purchase shares in foreign funds in excess of ...
This is an SEC proposed rule from June 2011 that would punish felons and so-called “bad actors” by disqualifying them from rule 506 offerings. This ...
This is another Dodd-Frank inspired proposed rule from the SEC in 2011. This one, proposed jointly with the CFTC and other regulators, regarding the definitions ...
This is the SEC's proposed rule released in March 2010 that would remove references to credit rating agencies in Investment Company rules and forms.