Dodd-Frank Blog
SEC Commissioner Comments on JOBS Act; Immigration Reform
Consumer Protection, Private Equity On May 18, 2013, SEC Commissioner Luis A. Aguilar spoke at the annual gala of the Georgia Hispanic Chamber of Commerce, using the opportunity to highlight the contributions of immigrants (and Hispanic immigrants in particular) to the economy, tout the crowdfunding and so called “Regulation A – plus” provisions of the JOBS Act, and weigh in [...] Read more →
Conflict Minerals and Resource Extraction Challenges Proceed on Accelerated Basis
Public Companies and Securities We previously noted that the challenge to the SEC’s conflict minerals rules was transferred from the Court of Appeals to the United States District Court for the District of... Read more →
CFPB Takes Action Against Real Estate Kickbacks Under RESPA
Banking, Consumer Protection The CFPB has ordered a Texas homebuilder, Paul Taylor, to surrender more than $100,000 he received in kickbacks for referring mortgage origination business to Benchmark Bank and... Read more →
Crowdfunding and Jobs Act News Roundup – May 17, 2013
Public Companies and Securities This week the SEC appointed Keith F. Higgins as Director of the Division of Corporation Finance. We don’t know him personally but have seen him speak at conferences and... Read more →
Whistleblower Law Firm Complains to SEC
Litigation, Public Companies and Securities, Uncategorized Two partners from a self-described law firm that specializes in the representation of whistleblowers have sent a letter to the SEC Commissioners complaining about the use of... Read more →
SEC Chair Mary Jo White on Social Media
Public Companies and Securities In testimony before the U.S. House of Representatives Committee on Financial Services, SEC Chair Mary Jo White stated that the Netflix Section 21(a) report stands for the... Read more →
CFTC (and FERC) Compliance Managers Take Note – CFTC Schedules Vote on Final Interpretation of Disruptive Trading Practices
Energy, Private Equity, Public Companies and Securities At its open meeting on May 16, 2013, the Commodity Futures Trading Commission will vote on the final interpretative rule for disruptive trading practices under Section 747 of the... Read more →
Crowdfunding and Jobs Act News Roundup – May 10, 2013
Public Companies and Securities It was another week of speculation as to when the SEC might finalize or propose any JOBS Act rule. Broc Romanek of the TheCorporateCounsel.net pointed to one article which said... Read more →
PCAOB, Auditors and Executive Compensation
Executive Compensation, Public Companies and Securities The Public Company Accounting Oversight Board, or PCAOB, has reproposed a new auditing standard, Related Parties, and certain other amendments to its standards. Overall, the... Read more →