Dodd-Frank Wall Street Reform

Dodd-Frank Wall Street Reform Blog Posts

Client Alerts:

  • SEC Adopts Rules Relating to Net Worth Standard for Accredited Investors
    On December 21, 2011, the Securities and Exchange Commission (“SEC”) adopted new rules under the Securities Act of 1933, as amended (the “Securities Act”), as required by Section 413(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”)...  [pdf] 1/4/12
  • SEC Adopts Rules For Private Fund Reporting
    On October 26, 2011, the Securities and Exchange Commission (“SEC”) adopted new rules under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), as required by Sections 404 and 406 of the Dodd-Frank Wall Street Reform and Consumer Protection Act...  [pdf] 11/21/11
  • SEC Raises Qualified Client Standard for Performance Fee Rule
    On July 12, 2011, the Securities and Exchange Commission (“SEC”) issued an order under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), as required by Section 418...  [pdf] 8/1/11 
  • Court Vacates the SEC's Proxy Access Rules
    Earlier today, the U.S. Court of Appeals for the D.C. Circuit vacated the Securities and Exchange Commission's ("SEC") proxy access rules, which had been stayed pending the outcome of this litigation...  [blog post] 7/22/11 
  • SEC Adopts Rules Relating to Investment Adviser Registration Exemptions and Reporting Requirements
    On June 22, 2011, the Securities and Exchange Commission (“SEC”) adopted new rules under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), as required by Sections 403, 407, 408 and 410 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”)...  [pdf] 7/1/11 
  • SEC Adopts “Family Office” Definition
    On June 22, 2011, the Securities and Exchange Commission (“SEC”) adopted new Rule 202(a)(11)(G)-1 (the “Rule”) to define the term “family office” under the Investment Advisers Act of 1940 (the “Advisers Act”), as required by Section 409....  [pdf] 7/1/11 
  • SEC Adopts Whistleblower Rules Under Dodd-Frank
    On May 25, 2011, the U.S. Securities and Exchange Commission (SEC) by a 3–2 vote adopted final rules implementing the whistleblower award program...  [pdf] 6/14/11 
  • SEC Proposes Rules Limiting Certain Investment Adviser Incentive Compensation
    On March 2, 2011, the Securities and Exchange Commission (“SEC”) proposed new rules under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), as required by Section 956...  [pdf] 4/1/11 
  • ILPA Releases Version 2.0 of its Private Equity Principles
    On January 11, 2011, the Institutional Limited Partners Association ("ILPA") released a revised version of its Private Equity Principles...  [pdf] 2/10/11
  • SEC Proposes Rules Relating to Net Worth Standard for Accredited Investors
    On January 25, 2011, the Securities and Exchange Commission ("SEC") proposed new rules under the Securities Act of 1933...  [pdf] 2/10/11
  • SEC Proposes Rules Relating to Investment Adviser Registration Exemptions and Reporting Requirements
    On November 19, 2010, the Securities and Exchange Commission ("SEC") proposed new rules under the Investment Advisers Act of 1940...  [pdf] 12/16/10
  • SEC Dodd-Frank Implementation — Proposed Institutional Investment Manager Reporting on Proxy Votes
    On October 18, 2010, the Securities and Exchange Commission (“SEC”) proposed new Rule 14Ad-1 (the “Proposed Rule”) under the Securities Exchange Act....  [pdf] 11/16/10
  • SEC Dodd-Frank Implementation — Proposed Family Office Definition
    On October 12, 2010, the Securities and Exchange Commission (“SEC”) proposed new Rule 202(a)(11)(G)-1 (the “Proposed Rule”) to define the term “family office” under the Investment Advisers Act of 1940....  [pdf] 11/16/10
  • SEC Adopts Final Rules on Proxy Access and Facilitation of Nominations of Directors by Shareholders
    On August 25, 2010, the Securities and Exchange Commission (“SEC”) adopted final rules to facilitate nominations of directors by shareholders, including so-called “proxy access” rules....      [pdf] 8/26/10
  • Three Bills Introduced to Repeal Section 929I of the Dodd-Frank Financial Reform Bill
    As reported in BNA’s Privacy Law Watch on July 29, 2010, three bills were introduced by House Republicans to repeal Section 929I of the Dodd-Frank Wall Street Reform and Consumer Protection Act...  [pdf] 8/6/10
  • Important Developments in the Municipal Bond Market
    A number of regulatory and legislative developments will alter the municipal securities market significantly in the upcoming months...  [pdf] 7/27/10
  • Dodd-Frank Wall Street Reform and Consumer Protection Act
    This week, President Obama signed into law the "Dodd-Frank Wall Street Reform and Consumer Protection Act" (the "Act")... [web] 7/22/10 
  • OTC Derivatives Reform: Wall Street Transparency and Accountability Act of 2010
    Title VII of H.R. 4173, the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank"), substantially alters the regulation of over-the-counter ("OTC") derivatives markets...  [pdf] 7/21/10
  • Impact of the Dodd-Frank Act on Main Street
    On July 15, 2010 the Senate passed the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Act"), which represents the most sweeping change to banking law since Congress adopted the Financial Institutions Reform, Recovery and Enforcement Act of 1989 ("FIRREA"), if not before... [pdf] 7/20/10
  • Executive Compensation, Corporate Governance and Enforcement Provisions of The Dodd-Frank Act Affecting Public Companies
    On July 15, 2010, the United States Senate approved a comprehensive regulatory reform bill entitled the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank")... [pdf] 7/20/10
  • Volcker Rule Will Impact Private Fund Industry
    On July 15, 2010, the Senate approved the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Act"), previously passed by the House on June 30, 2010... [pdf] 7/20/10
  • Dodd-Frank Act Impacts Private Fund Advisers
    On July 15, 2010, the Senate approved the "Dodd-Frank Wall Street Reform and Consumer Protection Act" (the "Act"), previously passed by the House on June 30, 2010... [pdf] 7/20/10

Hunton & Williams in the press regarding Dodd-Frank Wall Street Reform

  • "US private equity industry assesses impact of financial industry reform legislation," Financier Worldwide, James S. Seevers, Jr., Cyanne B. Crump, Peter G. Weinstock,  [pdf] August 2010
  • "No radical crackdown seen for US trade limits," Michael Sweeney and David McIndoe talk to Reuters on new US trade limits law, [web] Aug. 19, 2010
  • The Deal interviews James Seevers about fund spinoffs resulting from the 'Volcker Rule',  [web] Aug. 5, 2010
  • "Uncertainty, in 2,300 pages," Tom Hiner speaks to The Deal about Dodd-Frank Wall Street Reform and Consumer Protection Act  [web] July 30, 2010
  • Some foreign GPs to face US SEC registration, Private Equity Manager, (James S. Seevers, Jr.) [web] July 22, 2010

Events