Entries tagged "Dodd-Frank Wall Street Reform and Consumer Protection Act"

You have executed a tag search on The Deal Pipeline. Below, you will find a comprehensive list of stories tagged "Dodd-Frank Wall Street Reform and Consumer Protection Act."

12 result(s) displayed (1 - 12 of 21)

The SEC's new examination program

Now that examination is being coordinated with enforcement, the SEC should reform the notice it gives to examined firms Continue reading

Posted on April 19, 2012 1:19 PM

Derivatives risks still loom large

New derivatives rules aimed at wiping away risk could lead to a whole new batch of problems. Continue reading

Posted on December 9, 2011 12:00 PM

New restrictions to investment advisers' marketing practices

Changes to the Investment Advisers Act impact marketing practices of private investment firms Continue reading

Posted on November 30, 2011 3:01 PM

A Volcker Rule cheat sheet

Contributors to The Deal magazine say private funds seeking to raise capital from banking entities need to understand what the proposed rules would permit if adopted as written. Continue reading

Posted on November 17, 2011 10:21 AM

A Volcker Rule cheat sheet

Private funds seeking to raise capital from banking entities need to understand what the proposed rules would permit if adopted as written. Continue reading

Posted on November 11, 2011 12:30 PM

Return of the froth

The acquisition financing market is beginning to exhibit some of the same features of the LBO boom. But some important post-crisis changes remain. Continue reading

Posted on April 25, 2011 12:45 PM

So now what?

What does a hedge fund adviser need to do if it now has to register with the SEC? Continue reading

Posted on February 14, 2011 9:17 AM

Has Dodd-Frank created a hidden whistleblower tax?

It appears every company that is sanctioned by the SEC will potentially be paying to finance the whistleblower fund, even if there was no whistleblower in its case. Continue reading

Posted on January 26, 2011 1:13 PM

Fellow travelers

Dodd-Frank decided to study whether secondary players in securities suits could be sued. The Supreme Court may decide before that. Continue reading

Posted on January 21, 2011 11:46 AM

Dodd-Frank's impact on private fund managers

Life under the Investment Advisers Act may bring significant change for currently unregistered advisers. Continue reading

Posted on November 16, 2010 1:10 PM

Let the fun begin

The GOP may not like healthcare or financial reform, but they're not going to be able to do much about it. Welcome to the new normal. Continue reading

Posted on November 12, 2010 12:54 PM

Pay to stay

Companies going public face an increasing array of thorny compensation issues. Continue reading

Posted on November 12, 2010 12:40 PM

Movable Type search results powered by Fast Search