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Financial Market Legislation
Analysis: Proposed Volcker Rule Regulations
November 29, 2011
K&L Gates recently published a legal alert regarding recently proposed regulations to implement the Volcker Rule (the "Proposal"). The alert summarizes key elements of the Proposal, focusing on how it would significantly limit or affect the relationships that depository institutions and their affiliates have… read more
Mutual Funds and FSOC’s Reproposed “Systemic” Designation Rule
October 13, 2011
On his FundLaw news group, Stradley Ronon's John Baker has prepared an excellent summary of FSOC's reproposed rule regarding designating nonbank financial institutions as systemically important and the impact this rule could have on mutual funds. By way of background, the Dodd-Frank Act authorizes… read more
Former Moody’s Analyst Files Unusual Comment
September 20, 2011
A former senior analyst with Moody's has filed an unusual 78 page comment letter with the SEC, detailing his complaints with Moody's rating methods, conflicts of interest, and management. The letter is filed in the form of a comment letter in response to the SEC's… read more
The Unfinished Agenda
September 08, 2011
The U.S. Chamber of Commerce recently published a report analyzing the progress of U.S. financial regulation a year after adoption of the sweeping Dodd-Frank legislation. The report's premise is that: "The goal should never be less or more regulation, it should be better regulation. Our… read more
Rep. Bachus Proposes “SEC Modernization Act”
August 08, 2011
Rep. Spencer Bachus (R-AL) recently proposed the "SEC Modernization Act" intended to reform aspects of the Securities and Exchange Commission's structure and financing. The legislations proposes to consolidate certain offices, make managerial and ethics reforms, and change in part the agency's financing and certain aspects… read more