Latest Dodd-Frank Posts
Dodd-Frank vs. Reality
Investment Advisers Last week the SEC “was persuaded” to extend the compliance date for Dodd-Frank Act’s requirement that registered investment advisers provide their clients with brochure supplements written in plain English. The new compliance dates vary. The Securities Industry and Financial Markets Association and others requested the delay of the extention of the compliance date, citing... Read more →
SEC Approves Revised Fees for Investment Advisers
Investment Advisers On December 2, 2010 the SEC issued a notice indicating its intent to charge revised fees IARD filing fees for investment advisers registering or registered with the SEC. The... Read more →
SEC Falls Short on Rulemaking Agenda
Public Companies and Securities In September 2010, the SEC published its Dodd-Frank rulemaking timetable. The rulemaking timetable has been revised. We compared the September timetable to the current... Read more →
Mandatory Clawbacks are on the Way—A Checklist of Items to Consider
Executive Compensation, Public Companies and Securities, Uncategorized Section 954 of the Dodd-Frank Act requires the SEC to direct national securities exchanges to prohibit the listing of public companies that, among other things, do not develop and... Read more →