Searching Content indexed under Dodd-Frank, Consumer Protection Act by Ropes & Gray LLP ordered by Published Date Descending.
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Catnip For Whistleblowers: The Status Of SOX Whistleblower Protections In FCPA Cases
A recent decision in the 9th Circuit limits the Sarbanes-Oxley whistleblower protections available to former employees who face retaliation for blowing the whistle in FCPA cases ...
United States
8 Apr 2019
SEC Adopts Final Hedging Disclosure Rule
In this Alert, we describe the scope and application of the final rule and offer some practical guidance for public companies.
United States
3 Jan 2019
Fifty State Attorneys General Reach Settlement Over Cyber-Incident Disclosure
The Uber settlement is significantly larger than others reached with state attorneys general in recent years.
United States
15 Oct 2018
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
New Banking Law Takes First Step In Rolling Back Dodd-Frank Reforms
On May 24, 2018, President Trump signed into law the Economic Growth, Regulatory Relief, and Consumer Protection Act (the "Act") ...
United States
29 May 2018
The Broad Reach Of Medicare Act's Preemption Provision
Civil actions alleging state-law claims premised on violations of Medicare's rules may turn on specific procedures outlined in the Medicare Act — which contains an express preemption provision — and its implementing regulations.
United States
8 Dec 2017
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
Dodd-Frank Credit Risk Retention Rules: House Financial Services Committee Passes Bill To Reduce Compliance Burden For Collateral Managers Of Qualified CLOs
H.R. 4166 originally proposed that a collateral manager of a QCLO be able to meet its reduced risk retention obligation by holding 5% of such CLO's equity securities.
United States
17 Mar 2016
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
SEC Imposes Fine On KBR For Violating Dodd-Frank Whistleblower Protection Rule
On April 1, 2015, the U.S. Securities and Exchange Commission announced the resolution of its first enforcement action against a company for violations of the whistleblower protection provisions of the Dodd-Frank Act regulations.
United States
7 Apr 2015
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
Private Investment Fund Update: November 2013
The NY Fed recently amended the TIC Form B, and under the new requirements, private funds may have Form B reporting obligations with respect to certain liabilities to, and claims on, non-U.S. residents.
United States
21 Nov 2013
Government Enforcement Attorneys Review Regulatory Challenges Facing Companies In Financial Services, Health Care And Government Contracting Industries
On October 2, government enforcement partner Jason Brown and government enforcement associate Aaron Katz published an article titled "Can a corporation be liable for ‘violating’ an ambiguous regulation?" in Inside Counsel magazine.
United States
8 Oct 2013
Ropes & Gray’s Private Investment Fund Update: June 2013
The Securities and Exchange Commission staff recently released an updated set of questions and answers in its "Frequently Asked Questions".
United States
3 Jul 2013
CFTC Issues Final Clearing Determination For Certain Interest Rate Swaps And Credit Default Index Swaps
On November 28, 2012, the Commodity Futures Trading Commission (CFTC) issued final rules that require certain interest rate swaps and credit default index swaps to be cleared.
United States
30 Nov 2012
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
SEC Adopts Final Rules On Compensation Committee Listing Standards And Consultant Conflicts Of Interest
On June 20, the SEC adopted final rules implementing the provisions of Section 952 of the Dodd-Frank Act.
United States
27 Jun 2012
CFTC And SEC Adopt Final Rules Excluding Most Non-Dealers From OTC Swap Registration Requirements
On April 18, 2012, the Commodity Futures Trading Commission (the "CFTC") and the Securities and Exchange Commission (the "SEC", and, together with the CFTC, the "Commissions") adopted final rules defining "swap dealer," "security-based swap dealer," "major swap participant" ("MSP"), and "major security-based swap participant" ("MSSP") under the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act").
United States
8 May 2012
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
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