Latest Dodd-Frank Posts
Resources to Update Comp Committee Charter Requirements by July 1
Public Companies and Securities As most listed public companies know, as a result of the Dodd-Frank Act, the stock exchanges have adopted rules regarding the independence of compensation committees and their advisers. NASDAQ and the NYSE require the first prong of these rules, which require revisions to compensation committee charters, to be completed by July 1, 2013. You may [...] Read more →
CFTC Reiterates that “Wash Trades” Are “Grave Violations” in Penalizing Two Experienced Traders for Wash Trading
Broker-Dealer, Energy On Monday, April 29, the Commodity Futures Trading Commission reiterated that wash trades (transactions without intent to take genuine, bona fide positions in the market, such as... Read more →
Conflict Minerals Challenge to Follow Resource Extraction Case to District Court
Public Companies and Securities As previously noted, the Court of Appeals for the District of Columbia recently dismissed a challenge to the SEC’s resource extraction rules for lack of jurisdiction. The case... Read more →
CFPB Revises Rule Protecting Consumers Sending Money Internationally
Banking, Consumer Protection The CFPB has revised its rule that creates certain protections for consumers who transfer money internationally. The revisions are intended to preserve the new consumer... Read more →