SEC, CFTC To Host Joint September Roundtables On Swap and Security-Based Swap Matters
Banking, Energy, Insurance, Public Companies and Securities Staff from the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) will hold two joint public roundtables in September on issues relating to implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The first roundtable on September 14 will be on issues related to swap data repository (SDR) registration, functions […] Read more →
NYSE Submits Proposed Rule to SEC on Elimination of Broker Discretionary Voting on Executive Compensation Matters
Executive Compensation, Public Companies and Securities Pursuant to Section 957 of the Dodd-Frank Act, the New York Stock Exchange submitted a proposal to amend NYSE Rule 452 and NYSE Listed Company Manual Section 402.08 to prohibit... Read more →
Municipal Advisers Must Register With the SEC by October 1
Banking, Insurance, Public Companies and Securities The Securities and Exchange Commission announced on September 2, 2010, that it has adopted a temporary rule requiring municipal advisors to register with the SEC by October 1, a... Read more →
FDIC Commences Roundtable Discussions on the Dodd-Frank Act
Banking In connection with the implementation of the Dodd-Frank Act, the FDIC announced a series of roundtable discussions with external parties. The first discussion was held on August... Read more →