Recent Articles

SEC Adopts Whistleblower Rules Under Dodd-Frank

June 14, 2011 16:09

On May 25, 2011, the U.S. Securities and Exchange Commission (SEC) by a 3–2 vote adopted final rules implementing the whistleblower award program of Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank).i New Regulation 21F requires the SEC to pay cash...

ILPA Releases Version 2.0 of its Private Equity Principles

February 11, 2011 14:38

On January 11, 2011, the Institutional Limited Partners Association ("ILPA") released a revised version of its Private Equity Principles (the "ILPA Principles") and the first of its five recommended standardized reporting templates. A copy of the ILPA Principles is available...

SEC Proposes Rules Relating to Net Worth Standard for Accredited Investors

February 10, 2011 15:46

On January 25, 2011, the Securities and Exchange Commission ("SEC") proposed new rules under the Securities Act of 1933, as amended (the "Securities Act"), as required by Section 413(a) of the "Dodd-Frank Wall Street Reform and Consumer Protection Act"...

SEC Proposes Rules Relating to Net Worth Standard for Accredited Investors

February 10, 2011 15:46

On January 25, 2011, the Securities and Exchange Commission ("SEC") proposed new rules under the Securities Act of 1933, as amended (the "Securities Act"), as required by Section 413(a) of the "Dodd-Frank Wall Street Reform and Consumer Protection Act"...

SEC Proposes Rules Relating to Investment Adviser Registration Exemptions and Reporting Requirements

December 16, 2010 16:55

On November 19, 2010, the Securities and Exchange Commission ("SEC") proposed new rules under the Investment Advisers Act of 1940, as amended (the "Advisers Act"), as required by Sections 403, 407, 408 and 410 of the "Dodd-Frank Wall Street Reform and Consumer Protection...

SEC Dodd-Frank Implementation -- Proposed Family Office Definition

November 16, 2010 16:00

On October 12, 2010, the Securities and Exchange Commission (“SEC”) proposed new Rule 202(a)(11)(G)-1 (the “Proposed Rule”) to define the term “family office” under the Investment Advisers Act of 1940 (the “Advisers Act”), as required by Section 409...

SEC Dodd-Frank Implementation -- Proposed Institutional Investment Manager Reporting on Proxy Votes

November 16, 2010 15:34

On October 18, 2010, the Securities and Exchange Commission (“SEC”) proposed new Rule 14Ad-1 (the “Proposed Rule”) under the Securities Exchange Act of 1934 (the “Exchange Act”), as required by Section 951 of the “Dodd-Frank Wall Street Reform and Consumer...

CTFC Proposes New Rules for Consumer Privacy Protection

November 01, 2010 14:29

On October 27, 2010, the U.S. Commodity Futures Trading Commission (the “CFTC”) issued two notices of proposed rulemaking (“NPRMs”), citing Gramm-Leach-Bliley Act (“GLBA”) privacy rules, and marketing and data disposal rules of the Fair Credit Report Act...

Responding to Questions on the Transfer of Residential Mortgage Loans in Securitizations

October 19, 2010 21:50

Recently, in addition to questions regarding certain residential mortgage foreclosure processing improprieties, concerns have been expressed regarding the validity of certain transfers of residential mortgage loans in securitization transactions. We believe that these concerns are unfounded. To...

SEC Proxy Access Seminar: Video Now Available

October 06, 2010 18:10

The Securities and Exchange Commission recently adopted its final rule on "proxy access," perhaps the most sweeping reform in decades regarding the way directors of public companies are elected. On September 21, 2010, Hunton & Williams hosted a panel on the SEC's proxy access rule and...