Dodd-Frank.com

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

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

CFTC to Publish All Outside Meetings Regarding Implementation of Dodd-Frank

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In an effort to keep implementation of the Dodd-Frank Act transparent, the CFTC has begun publishing a list of all meetings with outside organizations regarding implementation of the Act. The list discloses the outside organizations and individuals and CFTC staff involved in the meeting, the rulemaking topic discussed, and the... Read More

Topics: Banking, Derivatives, Energy, Insurance

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