Dodd-Frank.com

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

Dodd-Frank and Minnesota Investment Advisers

The Interaction Between Dodd-Frank and Minnesota Regulation of Investment Advisers Before enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the following rules applied under the Investment Advisers Act of 1940: The Investment Advisers Act precluded investment advisers with less than $25 million in assets under management from... Read More

Topics: Private Equity, Public Companies and Securities

Whistleblowers, Dodd-Frank and Sarbanes-Oxley

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The Dodd-Frank Act and the Sarbanes-Oxley Act both have provisions for whistleblowers.  Public companies need to be familiar with all of these provisions. The Dodd-Frank Act provides that if a “whistleblower” provides “original information” in certain judicial or administrative actions, the whistleblower may be entitled to as much as 10... Read More

Topics: Employment, Litigation, Public Companies and Securities

Dodd-Frank and Insurance

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Congress’s enactment of the insurance provisions in the Dodd-Frank Wall Street Reform and Consumer Protection Act signals the federal government’s most significant incursion into the regulation of insurance, an activity historically left to the states. Title V, the insurance provisions of Dodd-Frank, are divided into two subtitles: Subtitle A, establishing... Read More

Topics: Insurance

Dodd-Frank and Litigation

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The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) was signed into law by President Obama on July 21, 2010. Referred to by many as the most sweeping financial reform legislation since the 1930s, the Dodd-Frank Act is likely to have a significant impact across the spectrum of... Read More

Topics: Litigation

Dodd-Frank and Investment Advisors

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The Dodd-Frank Wall Street Reform and Consumer Protection Act contains several provisions that will have a significant impact on investment advisors and removes some key exemptions from the requirement to register as an investment advisor. Dodd-Frank also contains a “private fund” definition, which is a keystone for a number of... Read More

Topics: Private Equity

Dodd-Frank Subjects Energy Derivatives Trading to New CFTC Regulation

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Dodd-Frank subjects the over-the-counter derivatives market in energy and other commodities to an expansive new regulatory regime to be placed under the jurisdiction of the Commodity Futures Trading Commission. Energy traders now face new capital and margin requirements, reporting and recordkeeping obligations, and position limits with respect to energy contracts... Read More

Topics: Derivatives, Energy

Dodd-Frank and Employment Law

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The Dodd-Frank Act provides a monetary incentive for whistleblowers that provide the SEC with useful information.  The Act includes parallel non-retaliation provisions for whistleblowers.  As a result, human resource professionals need to be aware of the ramifications on their internal policies. Public companies will also have to implement clawback policies... Read More

Topics: Employment