Latest Dodd-Frank Posts
NYSE Announces Further Limitations on Broker Voting
Broker-Dealer, Public Companies and Securities Under New York Stock Exchange Rule 452, certain matters to be voted on at board meetings of NYSE member organizations were designated as “Broker May Vote” by the NYSE in its weekly bulletin, meaning that brokers could vote customer shares on the proposals, provided that they had not received customer instruction regarding the vote. Examples [...] Read more →
Plaintiffs Challenging CFTC Position Limits Dealt Set Back
Derivatives, Litigation As we noted, the International Swaps and Derivatives Association, Inc., or ISDA, and the Securities Industry and Financial Markets Association, or SIFMA, filed a legal challenge... Read more →
GAO Releases Report on Bank Holding Company Act Exemptions
Banking The Dodd-Frank Act required the Government Accountability Office (GAO) to study the implications of removing existing exemptions from the definition of “bank” under the Bank... Read more →
FTC and CFPB to Work Together
Consumer Protection Pursuant to a Memorandum of Understanding (MOU) dated January 20, 2012, the Consumer Financial Protection Bureau (CFPB) and the Federal Trade Commission (FTC) will work together... Read more →