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Volcker Rule (36)
Your search for Volcker Rule returned 36 results.
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7/18/2019 | Content area: Private Fund
Earlier this month, five federal regulatory agencies, including the SEC and CFTC, issued a joint final rule excluding smaller banks from the Volcker r...
7/09/2019 | Content area: Broker-Dealer | CPO/CTA
The OCC, Board, FDIC, SEC, and CFTC are adopting final rules to amend the regulations implementing the Bank Holding Company Act’s prohibitions and res...
2/14/2019 | Content area: Private Fund
It took awhile but the federal agencies united in the Volcker rule finally have published their proposed changes. The Feb. 8th Federal Register reveal...
12/26/2018 | Content area: Broker-Dealer | Private Fund
The OCC, Board, FDIC, SEC, and CFTC (individually, an Agency, and collectively, the Agencies) are inviting comment on a proposal to amend the regulati...
9/11/2018 | Content area: Investment Adviser | Private Fund
In response to requests from commenters regarding issues addressed in the proposal, the public comment period has been extended for 30 days until Octo...
9/06/2018 | Content area: Investment Adviser
The SEC, along with four other federal financial regulatory agencies, has determined to extend by 30 days the comment period for a proposed rule to si...
6/08/2018 | Content area: Investment Adviser
One view holds that the complex and costly Volcker rule must be changed to more easily permit hedging and market making. The second view fears looseni...
6/08/2018 | Content area: CPO/CTA
This spring, CFTC Chairman J. Christopher Giancarlo told Congress he would prefer an unanimous vote to stop the threshold for swap dealer registration...
6/06/2018 | Content area: Investment Adviser
This is a proposed revision of the so-called Volcker rule.
5/31/2018 | Content area: Investment Adviser
Now that the Federal Reserve has approved a 373-page proposal to revise the Volcker rule, fellow regulators – including the SEC and the CFTC – are due...
5/24/2018 | Content area: Investment Adviser
President Trump has sign S. 2155 into law. The bi-partisan financial reform legislation cleared Congress this week. It allows hedge and private equity...
11/02/2017 | Content area: Investment Adviser
Treasury Department Secretary Steven Mnuchin believes the regulatory framework for the asset management industry “can be significantly improved.” With...
6/15/2017 | Content area: Investment Adviser
If anyone knows the tangled regulatory structure of the U.S. government when it comes to financial services, it’s you. A new report from the Treasury ...
12/15/2016 | Content area: Investment Adviser | Private Fund
Mark July 21, 2017 on your calendar if you run a proprietary fund owned by a bank. That’s the final date for certain private funds to comply with the ...
4/14/2016 | Content area: CPO/CTA
It’s hard to comply with the rules when the regulator’s not transparent about them. Take the idea that CCOs at swaps dealers and futures commission me...
7/09/2015 | Content area: Investment Adviser
Large banks affiliated with investment advisers should already have figured out if they must halt proprietary trading and divest of their sponsored pr...
1/15/2015 | Content area: CPO/CTA
(a) Prohibition. (1) Except as otherwise provided in this subpart, a banking entity may not, as principal, directly or indirectly, acquire or retain a...
1/15/2015 | Content area: CPO/CTA
(a) Organizing and offering a covered fund in general. Notwithstanding §75.10(a), a banking entity is not prohibited from acquiring or retaining an ow...
9/18/2014 | Content area: Investment Adviser
In a new FAQ, the SEC states that the deadline for CEOs to attest that their entities satisfy the Volcker Rule’s compliance program requirements is Ma...
6/23/2014 | Content area: Investment Adviser
For the first time, the handful of federal agencies lumped together in overseeing the Volcker rule has released their first FAQs."They are not substan...


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