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Volcker Rule Implemented: Race for Compliance Begins

On Tuesday, December 10, 2013, five federal agencies, the Federal Reserve Board (FRB), Securities & Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC) and the Office of the Comptroller of the Currency (OCC) issued final rules developed jointly to implement section 619 of the Dodd-Frank
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Rule 506 Bad Actor Disqualification for Private Fund Advisers

By: Bradley Dizik and James Weir Recent Developments On July 10, 2013, the Securities and Exchange Commission (SEC), adopted bad actor disqualification provisions for Rule 506 of Regulation D under the Securities Act of 1933 (Securities Act), to implement Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank
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