Latest Dodd-Frank Posts
SEC Proposes Rules Regarding Broker-Dealer Reporting
Broker-Dealer, Investment Advisers The SEC has proposed amendments to the broker-dealer financial reporting rule under the Securities Exchange Act of 1934. The amendments would: update the existing requirements of Exchange Act Rule 17a-5, facilitate the ability of the Public Company Accounting Oversight Board to implement oversight of independent public accountants of broker-dealers as required by the Dodd-Frank Wall […] Read more →
CFTC Proposes to Postpone the Effective Date of Numerous Swap Trading Provisions
Banking, Derivatives, Energy The CFTC has proposed an order providing exemptive relief from various swap trading provisions of the Dodd-Frank Act that would otherwise go into effect on July 16, 2011 because... Read more →
Agencies Adopt a Final Rule to Establish a Risk-Based Capital Floor
Banking Three federal banking regulatory agencies adopted a final rule that establishes a floor for the risk-based capital requirements applicable to the largest, internationally active... Read more →
Test Your Knowledge of the Whistleblower Rules – Part II
Employment, Public Companies and Securities, Uncategorized We received favorable feedback on our article “Test Your Knowledge of the Whistleblower Rules,” so we thought a continuation would be appropriate. Some specific factual... Read more →