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Articles by Ronald Feiman
Moves Toward Coherent Regulation Of Crypto Products
The Trump Administration has begun the process of determining how cryptocurrencies and other blockchain-based products can be regulated in an orderly manner. Previously (and currently) different regulatory bodies have asserted jurisdiction over various crypto products, sometimes inconsistently.
Capital Markets, Professional Perspective - Recent Developments Affecting Private Credit Funds
Non-bank lending, or "private credit," has been thriving since the financial crisis of 2008. By the beginning of 2024, the amount invested in private credit has expanded to $1.4 trillion, about half the amount of commercial and industrial bank lending. As the private credit market has swelled, the environment continues to change with it. What has happened so far in 2024 that has significance for the private credit markets and the funds that develop and invest in private lending?
Reminder: Securities Transaction Settlement Cycle Shortened To T+1
CL Carter Ledyard & Milburn More Carter Ledyard & Milburn is a New York-based law firm with a strong focus on litigation, corporate transactions, real estate, and trusts and estates. We have a ratio of partners to associates of about one to one, and provide personal, partner-level attention to all clients and matters, large and small.
SEC Adopts Cybersecurity-Related Amendments To Regulation S-P For Market Participants
CL Carter Ledyard & Milburn More Carter Ledyard & Milburn is a New York-based law firm with a strong focus on litigation, corporate transactions, real estate, and trusts and estates. We have a ratio of partners to associates of about one to one, and provide personal, partner-level attention to all clients and matters, large and small.
SEC Adopts Major Changes To SPAC Rules
CL Carter Ledyard & Milburn More Carter Ledyard & Milburn is a New York-based law firm with a strong focus on litigation, corporate transactions, real estate, and trusts and estates. We have a ratio of partners to associates of about one to one, and provide personal, partner-level attention to all clients and matters, large and small.
Part II: New York's Regulation Of VASPs
This is Part II of our series on Virtual Asset Service Providers, focusing on New York state regulation of VASPs. Part I is available here. New York State regulates virtual asset service providers (VASPs) either operating in its jurisdiction or providing virtual asset services from offshore to persons in the state. The New York State Department of Financial Services (DFS) is the regulatory authority for VASPs operating in the state or providing virtual asset services to persons in the state.
StableCoins Are (Not Just Similar to) Money Market Funds
Before TerraD and Luna tokens crashed and the FTX exchange imploded, Securities and Exchange Commission Chair Gary Gensler gave a speech laying out his views on the regulation of the digital asset markets.
SEC Adopts Amendments Updating The ‘Fund Of Funds' Regulatory Framework For Registered Investment Companies And Business Development Companies - Corporate/Commercial Law - United States
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SEC Adopts Amendments Updating the ‘Fund of Funds’ Regulatory Framework for Registered Investment Companies and Business Development Companies | JD Supra
On Oct. 7, 2020, the Securities and Exchange Commission (SEC) voted to adopt a new rule (Rule 12d1-4), and related amendments to existing rules and forms, to enact a comprehensive regulatory framework for “fund of funds” arrangements (whereby funds invest in other funds). The rule adoptions also serve to rescind much of the current regulatory framework and exemptive relief addressing funds of funds.
SEC Streamlines Procedures For Exemptive Applications Under The Investment Company Act Of 1940
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SEC Streamlines Procedures for Exemptive Applications Under the Investment Company Act of 1940 | JD Supra
On July 6, the Securities and Exchange Commission (SEC or Commission) announced its long-awaited adoption of amendments (the Amendments) to Rule 0-5 (17 CFR 270.0-5) under the Investment Company Act of 1940 (the 1940 Act) to establish an expedited review procedure for applications for exemptive orders under the 1940 Act that are substantially identical to precedent, together with informal internal procedures for applications that would not qualify for the new, expedited process.
SEC Releases Risk Alert On Observations From Examinations Of Investment Advisers Managing Private Funds
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SEC Releases Risk Alert on Observations From Examinations of Investment Advisers Managing Private Funds | JD Supra
On June 23, the SEC’s Office of Compliance Inspections and Examinations (OCIE) released a risk alert (the Risk Alert) that identified three general areas of deficiencies in regard to its examination of private fund advisers: (i) conflicts of interest; (ii) fees and expenses borne by investors in private funds; and (iii) policies and procedures relating to material nonpublic information (MNPI).
SEC Proposes New Valuation Framework For Funds And BDCs
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SEC Proposes New Valuation Framework for Funds and BDCs | JD Supra
Section 2(a)(41)(B) of the Investment Company Act of 1940 (1940 Act) requires that portfolio securities without readily available market quotations be valued at “fair value as determined in good faith by the board of directors.” On April 20, the Securities and Exchange Commission (SEC) voted to propose Rule 2a-5, establishing a new framework for funds’ fair value determinations.
SEC Proposes New Valuation Practice Framework For Funds And BDCs
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SEC Proposes New Valuation Practice Framework for Funds and BDCs | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
SEC Accredited Investor Proposal Could Yield New Product Opportunities for Private Fund Managers | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
SEC Proposes to Modernize Rules Covering the Use of Derivatives and Short Sales by Registered Funds and Business Development Companies | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
SEC Eases Path for Exchange-Traded Fund (ETF) Launches | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
SEC Sues Investment Adviser for Nondisclosure of Revenue Sharing Agreement Details | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
SEC Provides Clarification on Investment Advisers’ Proxy Voting Responsibilities and the Applicability of Proxy Rules to Voting Advice | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
SEC Concept Release Could Yield New Retail Product Opportunities for Private Fund Managers | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
SEC Adopts ‘Loan Rule’ Amendments | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
SEC Adopts Regulation Best Interest and Related Rules and Interpretations | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
Federal Reserve Proposes To Clarify Bank Control Rules | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
Federal Reserve Proposes To Clarify Bank Control Rules | Lexology
Investors that own large stakes in a bank can trigger the Federal Reserve’s oversight if they have “controlling influence” over the bank. Rules for determining control, and thereby the subjection of the controlling party to extensive Federal Reserve supervision, were developed gradually, in the form of public and private interpretations, to help banks and their investors comply with regulatory requirements.
SEC Simplifies Disclosure Requirements to Further FAST Act Mandate | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
SEC Proposes Streamlining Offering Rules for Closed-End Funds and BDCs While Also Proposing New Reporting Obligations | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
SEC Staff Issues No-action Letter Regarding In-person Voting Requirements for Registered Investment Company | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
SEC Proposes Streamlining Offering Rules for Closed-End Funds and BDCs While Also Proposing New Reporting Obligations | Lexology
In March 2019, the SEC, at the direction of Congress, proposed rules (the “Proposed Rules”) to modify the registration, communications, and offering processes for business development companies (“BDCs”) and registered closed-end funds, including interval funds (together, “Affected Funds”), under the Securities Act of 1933 (the “Securities Act”).
SEC Staff Issues No-action Letter Regarding In-person Voting Requirements for Registered Investment Company | Lexology
Following a request from the Independent Directors Council (a registered investment company board advocacy group affiliated with the trade association Investment Company Institute), the SEC staff has provided relief from certain sections of the Investment Company Act of 1940 and the rules under that act regarding in-person voting requirements.
SEC Staff Allows Boards to Rely on CCO Determinations for Various Affiliated Transactions | JD Supra
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Federal Reserve Proposes Rewritten ‘Volcker 2.0’ Rule | JD Supra
JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations. This Privacy Policy describes how JD Supra, LLC ("JD Supra" or "we," "us," or "our") collects, uses and shares personal data collected from visitors to our website (located at www.jdsupra.com) (our "Website") who view only publicly-available content as well as subscribers to our services (such as our email digests or author tools)(our "Services").
SEC Acts on Liquidity Disclosure Rules and Proposes Easing Regulation of ETF Launches | JD Supra
JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations. This Privacy Policy describes how JD Supra, LLC ("JD Supra" or "we," "us," or "our") collects, uses and shares personal data collected from visitors to our website (located at www.jdsupra.com) (our "Website") who view only publicly-available content as well as subscribers to our services (such as our email digests or author tools)(our "Services").
SEC, FINRA Target ICOs, Cybersecurity, Secondary Market Trading in 2018 Examination Priorities | JD Supra
Both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) recently released their respective 2018 examination priorities, providing a glimpse into their plans for the year to come. Many of the areas they highlighted will directly affect the alternative investment sector, and private fund advisers and securities firms should pay particular attention to their activities in such areas.
U.S. Senate Hearing on Cryptocurrencies | JD Supra
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Trump Administration Issues Guidance on Asset Management and Insurance Regulation
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Funds Talk: May 2017 - On Index Funds and Anti-competitive Activity
Among the plethora of investment products available, index funds have historically been considered among the more respectable, reliable and generally safe options for investors and markets alike. Tied to the performance of baskets of stocks, the funds offer broad market exposure and relatively low operating expenses as a result of their passively managed structures.
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