Latest Dodd-Frank Posts
SEC Adopts Rules Regarding Review of Assets in ABS Offerings
Public Companies and Securities The SEC has adopted new requirements in order to implement Section 945 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. The new rules require any issuer registering the offer and sale of an asset-backed security, or ABS, to perform a review of the assets underlying the ABS. The SEC has also [...] Read more →
GAO Report: Regulation of Financial Planners is Adequate
Broker-Dealer, Insurance, Investment Advisers The United States Government Accountability Office, or GAO, has issued a report that responds to a mandate included in Section 919C of the Dodd-Frank Act that directed GAO to... Read more →
SEC Begins to Comment on Dodd-Frank Disclosures
Public Companies and Securities The SEC has begun to issue comments on Dodd-Frank disclosures included in SEC filings. While perhaps the comments to date are not great in number, they demonstrate the SEC is... Read more →
Interagency Working Group Releases Report on Oversight of Carbon Markets
Banking, Derivatives, Energy, Insurance A federal interagency working group, led by the CFTC and including representatives from the Department of Agriculture, Treasury, SEC, EPA, FERC, FTC, and DOE (EIA), has released a... Read more →