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462 results found

Article

Husch Blackwell LLP | USA | 18 Nov 2010

SEC proposes new family office definition under Dodd-Frank

On October 12, 2010, the Securities and Exchange Commission (SEC) proposed a new rule that would exempt "family offices" from the definition of investment adviser under the Investment Advisers Act of 1940.

Article

Dentons | USA | 12 Nov 2010

SEC proposes definition of "family office" to exclude "family office" from the definition of "investment adviser"

Advisers Act Rule Proposal on a Fast Track As required under the Dodd-Frank Act, the Securities and Exchange Commission has proposed new Rule 202(a)(11)(G)-1 to define a "family office" under the Investment Advisers Act of 1940 (the "Advisers Act").

Article

Vedder Price PC | USA | 29 Jul 2010

Service provider fee disclosure: another step towards fee transparency

Plan fiduciaries who are in the midst of implementing the new Form 5500 Schedule C requirements for service provider fees may not want to think about additional fee disclosures.

Article

Cadwalader Wickersham & Taft LLP | USA | 20 Jul 2010

Amendments to SOX, including Section 404(b) exemption for nonaccelerated filers, under the dodd-frank wall street reform and consumer protection act

The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the "Act") has now been passed by both houses of Congress and is awaiting signature by President Obama.

Article

Bricker & Eckler LLP | USA | 2 Jun 2010

Red Flags Rule enforcement delayed; limiting legislation pending in Senate

At the request of Congress, the Federal Trade Commission (FTC) has once again delayed enforcement of the Red Flags Rule until December 31, 2010.

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