In many instances, the Dodd-Frank Wall Street Reform and Consumer Protection Act
merely set a framework for financial reform and left much of the heavy lifting
to the financial regulatory agencies. The SEC published their agenda for the implementation of Dodd-Frank .
It is a long list. Compliance...
Sutherland Regulatory Reform Task Force Team
The Commodity Futures Trading Commission (CFTC) issued its
sixth series of proposed rules under the Dodd-Frank Wall Street Reform and
Consumer Protection Act (Dodd-Frank) at an open meeting held yesterday,
Wednesday, December 1, 2010. The proposed...
The Securities and Exchange Commission was very busy today in their latest work implementing the Dodd-Frank bill. In addition to proposing new rules relating to registration of investment firms (and unveiling a new proposed form to do so), they acted on the "accredited investor" definition...
No, (to my knowledge) Wikileaks hasn't released detailing
corruption in the SEC. Instead, Sherron Watkins, the primary
whistleblower in the Enron fraud, weighed in on the SEC's
new incentives for whistleblowers . In a panel discussion about
whistleblowers held by the New York State Society...
WASHINGTON, D.C. - (Mealey's) The Securities and Exchange Commission on May 25 adopted 17 new rules providing for whistleblower incentives and protection under the Securities Exchange Act of 1934, bringing it in compliance with the Dodd-Frank Wall Street Reform and Consumer Protection Act.
I am on the ground in Palo Alto this week at the
annual Stanford Law School Directors' College ,
where the opening speaker on Sunday night was SEC Commissioner Troy Paredes ,
whose presentation was in the form of a dialog with Stanford Law Professor and
former SEC Commissioner Joseph
Dodd-Frank added Exchange Act Section
21F(g)(5) and requires that SEC's Office of the Whistleblower to report to Congress
annually on the whistleblower program. It's due each October 30. I'm sure the
SEC wanted to be in compliance, so they released the first annual report on the
by Andras P. Teleki
This EIA focuses on the SEC
version of the Red Flag Rules. The SEC version of the Red Flag Rules will be
known as Regulation S-ID and would be added after Regulations S-P and S-AM when
On March 6, 2012, the SEC and
CFTC jointly proposed rules (the "Proposal"...