Latest Dodd-Frank Posts
SEC Provides No-Action Relief on Regulation BTR
![11379622_S[1]](http://dodd-frank.com/wp-content/uploads/2013/05/11379622_S1-285x200.jpg)
Employment, Executive Compensation, Public Companies and Securities Broadly speaking, SEC Regulation BTR prohibits directors and executive officers of public companies from trading in the issuer’s securities which were acquired in connection with service to the issuer if a sufficient number of participants in the issuers’ benefit plans are also prohibited from trading in the issuer’s securities because of a plan blackout. It [...] Read more →
SEC Commissioner Comments on JOBS Act; Immigration Reform
Consumer Protection, Private Equity On May 18, 2013, SEC Commissioner Luis A. Aguilar spoke at the annual gala of the Georgia Hispanic Chamber of Commerce, using the opportunity to highlight the contributions of... Read more →
Conflict Minerals and Resource Extraction Challenges Proceed on Accelerated Basis
Public Companies and Securities We previously noted that the challenge to the SEC’s conflict minerals rules was transferred from the Court of Appeals to the United States District Court for the District of... Read more →
CFPB Takes Action Against Real Estate Kickbacks Under RESPA
Banking, Consumer Protection The CFPB has ordered a Texas homebuilder, Paul Taylor, to surrender more than $100,000 he received in kickbacks for referring mortgage origination business to Benchmark Bank and... Read more →