Dodd-Frank.com

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

SEC, CFTC To Host Joint September Roundtables On Swap and Security-Based Swap Matters

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Staff from the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) will hold two joint public roundtables in September on issues relating to implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act.  The first roundtable on September 14 will be on issues related to swap... Read More

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

NYSE Submits Proposed Rule to SEC on Elimination of Broker Discretionary Voting on Executive Compensation Matters

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Pursuant to Section 957 of the Dodd-Frank Act, the New York Stock Exchange submitted a proposal to amend NYSE Rule 452 and NYSE Listed Company Manual Section 402.08 to prohibit member organizations from voting uninstructed shares if the matter to be voted on relates to executive compensation.  The NYSE is... Read More

Topics: Executive Compensation, Public Companies and Securities

Municipal Advisers Must Register With the SEC by October 1

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The Securities and Exchange Commission announced on September 2, 2010, that it has adopted a temporary rule requiring municipal advisors to register with the SEC by October 1, a deadline established by the newly-enacted Dodd-Frank Wall Street Reform and Consumer Protection Act. Municipal advisors provide advice to state and local... Read More

Topics: Banking, Insurance, Public Companies and Securities

CFTC Issues Final Rules on Retail Forex Trading

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The U.S. Commodity Futures Trading Commission has issued regulations concerning off-exchange retail foreign currency transactions. The rules implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act and the Food, Conservation, and Energy Act of 2008, which, together, provide the CFTC with broad authority to register and regulate... Read More

Topics: Banking, Insurance, Public Companies and Securities

SEC Warns Rating Agencies

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The Securities and Exchange Commission today issued a report cautioning credit rating agencies about deceptive ratings conduct and the importance of sufficient internal controls over the policies, procedures, and methodologies the firms use to determine credit ratings. The report says that because of uncertainty regarding a jurisdictional nexus between the... Read More

Topics: Banking, Litigation, Public Companies and Securities