Alexander Radisich

Orrick, Herrington & Sutcliffe LLP

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Regulatory Agencies Finalize Changes to Covered Fund Provisions of the Volcker Rule

On July 31, the Office of the Comptroller of the Currency (OCC), the Board of Governors of the Federal Reserve System (FRB), the U.S. CFTC, the Federal Deposit Insurance Corporation (FDIC), and the U.S. Securities and...more

9/3/2020 / Bank Holding Company , CFTC , FDIC , Investment , OCC , Regulatory Agencies , Securities and Exchange Commission (SEC) , Volcker Rule

Agencies Publish Rule Excluding Community Banks from Volcker Rule

On July 9, the Federal Deposit Insurance Corporation (FDIC), the Federal Reserve Board, the Commodity Futures Trading Commission (CFTC), the Office of the Comptroller of the Currency (OCC) and the Securities and Exchange...more

7/16/2019 / Banking Sector , Banks , CFTC , FDIC , Hedge Funds , OCC , Securities and Exchange Commission (SEC) , Volcker Rule

SEC Extends Compliance Deadline for Certain Aspects of Liquidity Risk Management Programs Under the Investment Company Act

On February 22, 2018, the Securities and Exchange Commission (“SEC“) announced that it is adopting an interim final rule that provides a six-month extension for compliance with certain requirements of Rule 22e-4 regarding a...more

3/8/2018 / ETFs , Investment Company Act of 1940 , Liquidity Risk Management Rule , Securities and Exchange Commission (SEC)

SEC to Allow Issuers to File Draft Initial Registration Statements on a Nonpublic Basis

On June 29, 2017, the Securities and Exchange Commission (“SEC“) announced that it would begin to allow issuers to file draft initial registration statements under the Securities Act of 1933 (the “Securities Act“) on a...more

7/14/2017 / EDGAR , Emerging Growth Companies , JOBS Act , Registration Statement , Securities Act of 1933 , Securities and Exchange Commission (SEC) , Securities Exchange Act

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