Latest Dodd-Frank Posts
Gensler Addresses Implementation of the Dodd-Frank Act Including Prospective Application of Swap Rules
Derivatives In remarks before the European Parliament, Economic and Monetary Affairs Committee, CFTC Chairman Gary Gensler addressed implementation of the Dodd-Frank Act. Mr. Gensler noted Congress gave the CFTC flexibility as to setting implementation or effective dates of the rules to implement the Dodd-Frank Act. Rules will not be implemented in the order they are finalized. […] Read more →
SEC Official States Compliance Examinations of Registered Advisers to Private Equity Funds Will Consider Conflicts of Interest and Offers Guidance on Use of Expert Networks
Investment Advisers, Private Equity, Uncategorized In remarks before the IA Watch Annual IA Compliance Best Practices Seminar, Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, or the OCIE, of the... Read more →
SEC Proposes Rules on Requirements to Search for Lost and Missing Securityholders
Uncategorized Section 929W of the Dodd-Frank Wall Street Reform and Consumer Protection Act added subsection (g), “Due Diligence for the Delivery of Dividends, Interest, and Other Valuable... Read more →
Gupta Claims Dodd-Frank Cannot be Applied Retroactively
Litigation, Public Companies and Securities The SEC brought civil insider trading charges against Rajat Gupta in an administrative proceeding. In so doing, the SEC used newly granted authority under the Dodd-Frank Act to... Read more →