Latest Dodd-Frank Posts
CFTC to Publish All Outside Meetings Regarding Implementation of Dodd-Frank
Banking, Derivatives, Energy, Insurance 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 date on which the meeting […] Read more →
SEC, CFTC To Host Joint September Roundtables On Swap and Security-Based Swap Matters
Banking, Energy, Insurance, Public Companies and Securities 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... Read more →
NYSE Submits Proposed Rule to SEC on Elimination of Broker Discretionary Voting on Executive Compensation Matters
Executive Compensation, Public Companies and Securities 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... Read more →
Municipal Advisers Must Register With the SEC by October 1
Banking, Insurance, Public Companies and Securities 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... Read more →