• Securities Regulation and Enforcement Series: The SEC Private Funds Rule, the Fifth Circuit Decision and SEC Rulemaking Authority

  • Aug 21 2024
  • Length: 28 mins
  • Podcast

Securities Regulation and Enforcement Series: The SEC Private Funds Rule, the Fifth Circuit Decision and SEC Rulemaking Authority

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  • Summary

  • In episode 4 of this series, A. Valerie Mirko, a Partner at Armstrong Teasdale LLP and Leader of the firm’s Securities Regulation and Litigation Practice, and William Nelson, an Associate General Counsel at the Investment Adviser Association, discuss recent development in private funds regulation with Karl Egbert, Partner at Baker McKenzie and Co-Chair of the Firm’s Global Private Funds Group. The conversation delves into the impact of the Dodd-Frank Act on private fund adviser regulation and then focuses on the SEC’s Private Fund Adviser Rule, which the Fifth Circuit vacated in June 2024. The conversation examines the impact of these developments on the private fund adviser industry and also addresses SEC rulemaking authority more generally.

    Past episodes of the series:

    Episode 1 (5/22/24)

    Episode 2 (6/5/2024)

    Episode 3 (7/24/2024)


    Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.
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