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Results:1-10 of 27

A swap or not a swap?
  • Jorden Burt LLP
  • USA
  • February 15 2013

The Secretary of the Treasury's final determination, issued on November 16, 2012, to exempt foreign exchange swaps and foreign exchange forwards from


Not all insurance products find safe harbor under final swap definition rules
  • Jorden Burt LLP
  • USA
  • August 28 2012

In July 2012, the SEC and CFTC (the Commissions) approved long-awaited joint rules and interpretations concerning certain key definitions, including “swap” and “security-based swap” (collectively Swaps).


JOBS Act lifts PPVIP limits
  • Jorden Burt LLP
  • USA
  • June 4 2012

The Jumpstart Our Business Startups Act was signed into law on April 5, 2012, for the purpose of facilitating American job creation and economic growth.


SEC Regulation D catches up to the law
  • Jorden Burt LLP
  • USA
  • March 20 2012

Effective February 27, 2012, the SEC has adopted final rule amendments to Regulation D and Rule 215 under the Securities Act of 1933 to conform the rules’ definition of accredited investor to the requirements of the Dodd-Frank Act.


CFTC expands regulation of investment companies
  • Jorden Burt LLP
  • USA
  • February 17 2012

Last week, the CFTC amended its rules to roll back and dilute provisions that since 2003 have enabled most investment companies to use certain derivatives without having a commodity pool operator registered with that agency.


SEC queries public on funds’ use of derivatives
  • Jorden Burt LLP
  • USA
  • November 21 2011

Having, over the years, addressed of a number of issues relating to the use of derivatives by funds registered under the Investment Company Act of 1940 on an ad hoc basis, the SEC issued a concept release on August 31, 2011 in hopes of creating “a more comprehensive and systematic approach.


Sub-adviser fees latest focus of excessive fee suits
  • Jorden Burt LLP
  • USA
  • September 29 2011

Sub-adviser fees have garnered the attention of plaintiff lawyers bringing excessive fee claims against mutual fund advisers -- not because they are alleged to be excessive but because they allegedly demonstrate that the investment management fees retained by the adviser are excessive


SEC adopts large trader registration and reporting rule
  • Jorden Burt LLP
  • USA
  • August 9 2011

On July 27, 2011, the U.S. Securities and Exchange Commission ("SEC") issued a final rule release adopting new Rule 13h-1 and Form 13H under the Securities Exchange Act of 1934 to assist the SEC in identifying, and obtaining trading information on, "large traders."


Incentive compensation to receive SEC scrutiny
  • Jorden Burt LLP
  • USA
  • May 17 2011

The SEC is proposing to scrutinize incentive compensation arrangements offered by any SEC-registered broker-dealer or investment adviser with at least $1 billion in consolidated assets.


Broker-dealer retail disclosure proposal faces industry resistance
  • Jorden Burt LLP
  • USA
  • March 30 2011

In response to Regulatory Notice 10-54, FINRA received over 300 comment letters regarding its concept proposal to require broker-dealers to provide a disclosure statement to retail investors at or before the commencement of a business relationship.