Latest Dodd-Frank Posts
Annual Report of SEC Office of Minority and Women Inclusion
Uncategorized The Office of Minority and Women Inclusion, or OMWI, of the U.S. Securities and Exchange Commission has submitted its first report pursuant to Section 342(e) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. The report covers Section 342-related activities at the SEC from the establishment of OMWI in July 2011 through [...] Read more →
CFPB Promises Enforcement Against Discriminatory Lending Practices
Banking, Consumer Protection The CFPB has reminded lending institutions under its jurisdiction it is responsible for enforcing the Equal Credit Opportunity Act. In public statements, officials of the CFPB... Read more →
CFTC and SEC Approve Final Rule Defining “Swap Dealer”
Banking, Derivatives, Energy By a 4-1 vote today, the CFTC approved release of a rule defining the terms “swap dealer” (“SD”), “major swap participant” (“MSP”), and eligible contract... Read more →
SEC Denies No Action Request Under Family Office Rule
Investment Advisers A recent no-action letter provides some clarification on the application of the new exemption from registration under the Investment Advisers Act of 1940 for “family offices.”... Read more →