Search
Searching Content indexed under Dodd-Frank, Consumer Protection Act by Ropes & Gray LLP's Investment Management Practice Group ordered by Published Date Descending.
Links to Result pages
 
1  
 
Title
Country
Organisation
Author
Date
1
Investment Companies Affected By The Economic Growth, Regulatory Relief, And Consumer Protection Act
President Trump signed the Economic Growth, Regulatory Relief, and Consumer Protection Act (the "Growth Act") into law on May 24, 2018.
United States
31 May 2018
2
2017 ICI Mutual Funds And Investment Management Conference
Ropes & Gray's memorandum summarizing the 2017 ICI Mutual Funds and Investment Management Conference sponsored by the ICI and the FBA is available above.
United States
4 Apr 2017
3
SEC Removes Credit-Rating References And Amends Issuer Diversification Requirements In Money Fund Rules
In a September 16, 2015 Release (the "Release"), the SEC completed its obligations under Section 939A of the Dodd-Frank Act by removing references to credit ratings from Rule 2a-7.
United States
28 Sep 2015
4
Upcoming Municipal Advisor Temporary Registration Deadline
The U.S. Securities and Exchange Commission (the "SEC") recently adopted a Final Rule to establish a permanent registration regime for Municipal Advisors as required to implement the provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act").
United States
8 Jan 2014
5
Update On Swaps Clearing Timetable
We wanted to inform you of recent statements from the CFTC staff regarding the phasing-in of the mandatory clearing requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
United States
12 Oct 2012
6
Ropes & Gray's Investment Management Update: February-March 2012
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
29 Mar 2012
7
CFTC Adopts Final Swap Recordkeeping And Reporting Rules
The minimum size of block trades and the time delay before dissemination of information regarding block trades has been the subject of much concern, because public reporting of a large transaction immediately following execution could have an adverse impact on the ability of a party to the transaction to enter into offsetting transactions to hedge its exposure.
United States
23 Jan 2012
8
SEC Adopts Final Rule Defining Family Offices Exempt From SEC Registration
On June 22, 2011, the Securities and Exchange Commission (the "SEC") adopted Rule 202(a)(11)(G)-1 under the Investment Advisers Act of 1940 ("Advisers Act") to create an exemption from registration for qualified "family offices."
United States
 
29 Jun 2011
9
Ropes & Gray's Investment Management Update: May 2011
On May 10, 2011, the Securities and Exchange Commission (the "SEC") issued proposed rules and a notice of its intention to issue an order increasing the thresholds for qualification as a "Qualified Client" under the Investment Advisers Act of 1940 (the "Advisers Act"), as required by the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act").
United States
7 Jun 2011
Links to Result pages
 
1