Dodd-Frank.com

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

New Regulation FD Case-Winks and Nods Still Count

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The Securities and Exchange Commission today announced enforcement actions against Office Depot, Inc. and two executives for violating or causing violations of fair disclosure regulations when selectively conveying to analysts and institutional investors that the company would not meet analysts’ earnings estimates. Regulation FD requires that when issuers disclose material... Read More

Topics: Public Companies and Securities

Beware of Twitter

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Companies, like athletes, show business types, and your teenage kids, have been flocking to twitter.  Be careful, says Michele N. Anderson, Chief of the Office of Mergers and Acquisitions of the SEC’s Corporation Finance Division.  The 140 character limit means there may be no room for required SEC legends, which... Read More

Topics: Banking, Broker-Dealer, Public Companies and Securities

SEC Chairman Speaks to NACD — Upcoming Rulemaking; Recent Proxy Rules

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Yesterday, Mary L. Schapiro, Chairperson of the SEC, addressed the National Association of Corporate Directors. She reviewed several recent SEC proxy rules which pre-date Dodd-Frank and gave a timetable regarding future Dodd-Frank rulemaking. Ms. Schapiro called out in particular the new proxy rules requiring disclosure of the factors in a... Read More

Topics: Executive Compensation, Public Companies and Securities

CFTC to Hold Open Meeting on Third Series of Proposed Rules under the Dodd-Frank Act

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The Commodity Futures Trading Commission, or CFTC, will hold a public meeting on Tuesday, October 26, 2010, to consider the issuance of the following proposed rulemakings under the Dodd-Frank Wall Street Reform and Consumer Protection Act:  Prohibition of market manipulation and disruptive trading practices; Provisions common to registered entities; Removing... Read More

Topics: Banking, Derivatives

CFTC Adopts Proposed Rules Regarding Protection of Consumer Information, Position Reports and a Definition of Agricultural Commodity

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The CFTC has adopted proposed rules which address the protection of consumer information, including rules which implement amendments to the Fair Credit Reporting Act and the Gramm-Leach-Bliley Act, rules regarding position reports for physical commodity swaps and a definition of agricultural commodity.  Fair Credit Reporting Act–Protection of Consumer Information  The... Read More

Topics: Derivatives

FDIC Board Proposes Comprehensive, Long-range Fund Management Plan

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The Board of Directors of the Federal Deposit Insurance Corporation (FDIC) today voted to propose a comprehensive, long-range plan for deposit insurance fund management with the goals of maintaining a positive fund balance, even during periods of large fund losses, and maintaining steady, predictable assessment rates throughout economic and credit... Read More

Topics: Banking

CFTC Staff to Host Public Roundtable to Discuss Individual Customer Collateral Protection

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Staff of the Commodity Futures Trading Commission (CFTC) will hold a public roundtable on October 22, 2010, from 1:00 p.m. to 4:00 p.m., to discuss issues related to individual customer collateral protection. The roundtable will assist the CFTC in the rulemaking process to implement the Dodd-Frank Wall Street Reform and... Read More

Topics: Banking, Derivatives, Insurance, Public Companies and Securities