Latest Dodd-Frank Posts
SEC Amends Rules of Practice for SROs
Public Companies and Securities Section 916 of the Dodd-Frank Wall Street Reform and Consumer Protection Act amended Section 19(b) of the Securities Exchange Act of 1934, or Exchange Act, which governs the handling of proposed rule changes submitted by self-regulatory organizations, or SROs. Among other things, the Dodd-Frank Act’s amendments to Section 19 of the Exchange Act require the [...] Read more →
CFTC Issues Proposed Rule on Position Limits for Derivatives
Banking, Derivatives, Energy The CFTC approved, by a 4 to 1 vote today, issuance of a proposed rule that establishes limits on positions in physical commodity futures contracts as well as swaps that are... Read more →
SEC Says Failure to Disclose Perks is Fraud
Executive Compensation, Public Companies and Securities, Uncategorized The SEC charged a Kansas-based company that manages government websites and four current or former company executives with failing to disclose to investors more than $1.18 million... Read more →
Bill to Repeal the Dodd-Frank Act
Uncategorized Representative Michelle Bachman has introduced the following legislation to repeal the Dodd-Frank Act: 112th CONGRESS 1st Session H. R. 87 To repeal the Dodd-Frank Wall Street... Read more →