Dodd-Frank.com

Developments in Securities Regulation, Corporate Governance, Capital Markets, M&A and Other Topics of Interest

SEC Rulemaking Schedule Addresses Derivatives Trading

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The SEC’s recently released rulemaking schedule for implementation of the Dodd-Frank Act includes a schedule for implementing the derivatives trading provisions of the Act. Generally speaking, the agency plans to propose derivatives trading rules during the period from October to December 2010, including rules to address the following: – Definitions... Read More

Topics: Banking, Derivatives, Energy, Insurance, Uncategorized

More 14a-11 Examples

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Filings by public companies continue to include references to Rule 14a-11, which permits shareholders to nominate a director and include the nomination in the registrant’s proxy statement.  In the last several days we have noted the following:  LAM Research Proxy (filed September 13, 2010)  Proposals Submitted under SEC Rules. Stockholder-initiated... Read More

Topics: Public Companies and Securities

SEC Proposes Rules on Window Dressing

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The SEC issued proposed rules on short-term borrowing disclosures.  Separately, the SEC issued an interpretive release on the presentation of liquidity and capital resource disclosures in MD&A disclosures.  The interpretive release will be effective upon publication in the Federal Register.  This rule making was not required by the Dodd-Frank Act... Read More

Topics: Banking, Insurance, Public Companies and Securities

SEC to Propose Rules on Disclosures Related to Short-Term Borrowings

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The SEC has announced that on September 17, 2010 it will hold an open meeting to consider whether to propose rules that would require a public company to provide certain disclosures about its short-term borrowings in its filings with the Commission. The Commission will also consider whether to publish an interpretive... Read More

Topics: Banking, Insurance, Public Companies and Securities