Latest Dodd-Frank Posts
PCAOB Adopts Interim Inspection Program for Broker-Dealer Audits
Broker-Dealer, Uncategorized The Public Company Accounting Oversight Board has adopted certain rules to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act related to audits of securities brokers and dealers. Specifically, the PCAOB adopted a temporary rule to establish an interim inspection program for registered public accounting firms’ audits of brokers and dealers. The […] Read more →
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... 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 →