Latest Dodd-Frank Posts
SEC’s OCIE Announces Cybersecurity Examinations of Broker-Dealers and Registered Investment Advisers
Broker-Dealer, Investment Advisers The SEC’s Office of Compliance Inspections and Examinations, or OCIE, previously announced that its 2014 Examination Priorities included a focus on technology, including cybersecurity preparedness. OCIE has issued a Risk Alert to provide additional information concerning its initiative to assess cybersecurity preparedness in the securities industry. As part of this initiative, OCIE will conduct... Read more →
Mandate Withheld in Conflicts Minerals Case
Public Companies and Securities In a little known action, the Clerk of Court of the Unites States Court of Appeals for the District of Columbia issued an order in the conflicts minerals case to withhold issuance... Read more →
Court Invalidates Conflict Minerals Rule Because it Crosses First Amendment Line
Public Companies and Securities In the end, it’s pretty simple. The court held the conflicts minerals rule and statute embodied in Dodd-Frank violate the First Amendment to the extent the statute and rule... Read more →
SEC Lays Out Road Map on Disclosure Reform
Public Companies and Securities, Uncategorized Keith F. Higgins, Director, SEC Division of Corporation Finance, recently laid out the SEC staff’s approach to the much discussed disclosure reform initiative. Highlights are... Read more →