Dodd-Frank.com

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

The Great FOIA Debate

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Section 929I of the Dodd-Frank Act which provides an exemption from the Freedom of Information Act in certain circumstances has sparked a great deal of controversy.  The controversy in part was sparked when SEC Chairman Mary Shapiro sent a letter to Barney Frank outlining what many thought was an overly... Read More

Topics: Public Companies and Securities

SEC Issues Concept Release on Swap Definitions and Announces Roundtable on Clearing and Listing of Swaps

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 Section 712(d) and 721(c) of the Dodd-Frank Act requires the SEC and CFTC to define certain terms such as “swap”, “security-based swap”, “swap dealer”, “security-based swap dealer”, “major swap participant”, “major security-based swap participant”, “eligible contract participant”, and “security-based swap agreement”.   The SEC today posted this concept release to... Read More

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

Advance Notice of Rule Making on Use of Credit Ratings

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The Office of the Comptroller of the Currency, Board of Governors of the Federal Reserve System, and the Federal Deposit Insurance Corporation, issued an advance notice of rule making regarding alternatives to the use of credit ratings in the regulatory capital guidelines.  The Office of Thrift Supervision plans to join... Read More

Topics: Banking

Treasury Official Discusses Path Forward on Financial Reform

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Michael Barr, Treasury Assistant Secretary for Financial Institutions, outlined the path forward for implementing the Dodd-Frank Act on August 10, 2010.  Mr. Barr noted the agencies involved in implementing financial reform are in the process of establishing timelines for moving forward on the scores of studies, regulations, and other regulatory... Read More

Topics: Banking