Latest Dodd-Frank Posts
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 timetable to identify some objectives which had been missed. A non-exhaustive list of things the SEC set out to do by year end but did not accomplish is as follows: §413: […] 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 →
FDIC to Revise Rules as a Result of Amendment to Dodd-Frank Act
Banking On December 22, 2010, Congress passed a bill to amend the Dodd-Frank Act to include Interest on Lawyers Trust Accounts, or IOLTAs, within the definition of noninterest-bearing... Read more →
SEC Extends Temporary Rule Regarding Principal Trades with Certain Advisory Clients
Broker-Dealer, Investment Advisers Under Section 913 of the Dodd-Frank Act, the SEC is required to conduct a study, and provide a report to Congress, concerning the obligations of broker-dealers and investment... Read more →