SEC Delegates Authority Related to SRO Rule Proposals to Facilitate Dodd-Frank Compliance
Public Companies and Securities The Dodd-Frank Wall Street Reform and Consumer Protection Act amended Section 19 of the Exchange Act, 15 U.S.C. 78s(b)(2), so that there are new deadlines by which the SEC must publish and act upon proposed rule changes submitted by self regulatory organizations, or SROs. In recognition of the amendments to Section 19, the SEC is […] Read more →
SEC Meeting to Consider Security-Based Swaps and Asset-Backed Securities
Public Companies and Securities The SEC has posted a Sunshine Act Notice related to an open meeting to be held on October 13, 2010. The following matters will be addressed: The SEC will consider whether to... Read more →
The Volcker Rule and Hedge Funds, Private Equity and Venture Capital Funds
Private Equity The “Volcker Rule” is named after former Federal Reserve Chairman Paul Volcker. Broadly speaking it is a rule against banks making certain speculative kinds of investments... Read more →
Proposed Dodd-Frank Disclosures for Asset-Backed Securities
Banking, Public Companies and Securities The SEC has proposed rules to implement Section 943 of the Dodd-Frank Act, which requires the SEC to prescribe regulations on the use of representations and warranties in the... Read more →