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26 Aug 2014, 2:31 pm
[This story previously appeared in Securities Regulation Daily.]By Jacquelyn LumbThe SEC has scheduled an open meeting for Wednesday, August 27, at which it will consider the adoption of rules to revise the disclosure, reporting, and offering process for asset-backed securities (ABS). [read post]
29 Aug 2016, 5:00 am
By Jacquelyn LumbThe Government Accountability Office, in its annual report to Congress on the effectiveness of the SEC’s conflict minerals rules, found that companies continue to experience difficulties in fulfilling their disclosure responsibilities. [read post]
12 Jun 2017, 10:08 am
By Jacquelyn LumbThe SEC has issued a public statement to explain why it has declined a request to issue an interpretive position on whether a particular agreement, contract, or transaction is a swap, security-based swap, or mixed swap. [read post]
21 Jul 2015, 8:00 am
By Jacquelyn LumbThe SEC’s Divisions of Trading and Markets, Investment Management, and Corporation Finance have updated their responses to frequently asked questions about the Volcker Rule to address the seeding period treatment for registered investment companies (RICs) and foreign public funds (FPFs). [read post]
2 Feb 2017, 5:00 am
By Jacquelyn LumbActing SEC Chair Michael Piwowar has directed the staff to consider whether guidance on the conflict mineral rule is still appropriate and whether additional guidance is needed. [read post]
14 Feb 2017, 7:07 am
By Jacquelyn LumbThe SEC has extended for one year the expiration dates in its interim final rules that provide exemptions for securities-based swaps that prior to July 16, 2011, were security-based swap agreements and are now defined as “securities” under the Dodd-Frank Act provisions. [read post]
19 Feb 2016, 12:05 pm
By Jacquelyn LumbThe SEC and the FDIC have jointly issued a rule proposal to provide for the orderly liquidation of large broker-dealers. [read post]
16 Sep 2022, 6:30 am
Securities and Exchange Commission, on Friday, September 9, 2022 Tags: Bitcoin, Cryptocurrency, Financial regulation, Financial technology, Howey test, SEC, Securities regulation, Stablecoins Proposed Additional Amendments to Form PF Posted by Jessica Forbes, Philip Heimowitz, and Mark Highman, Fried, Frank, Harris, Shriver & Jacobson LLP, on Saturday, September 10, 2022 Tags: Cryptocurrency, Disclosure, Form PF, Hedge funds, Institutional Investors, Private equity, Private funds,… [read post]
23 Sep 2022, 6:30 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, September 23, 2022 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of September 16-22, 2022 CEO Political Leanings and Store-Level Economic Activity during COVID-19 Crisis: Effects on Shareholder Value and Public Health Posted by John Bizjak (Texas Christian University), on Friday, September 16, 2022 Tags: COVID-19, ESG, Human capital, Political spending,… [read post]
16 Nov 2017, 7:03 am
Two other Dodd-Frank Act rules that were proposed by the SEC but not yet adopted relate to hedging and clawbacks. [read post]
28 Apr 2017, 6:29 am
By Jacquelyn LumbThe U.S. [read post]
4 Mar 2015, 5:33 am
[This story previously appeared in Securities Regulation Daily.]By Jacquelyn LumbCommissioner Kara Stein last month spoke in Tokyo, Japan, about the changes the Dodd-Frank Act’s Volcker rule brought to the U.S financial system. [read post]
5 Jun 2017, 7:48 am
By Jacquelyn LumbSEC Chairman Jay Clayton has called for an updated assessment of the current regulatory framework governing investment advisers and broker-dealers to aid in the Commission’s consideration of potential regulatory action. [read post]
7 Aug 2017, 10:50 am
The SEC adopted the pay ratio disclosure rule in August 2015 to implement Section 953(b) of the Dodd-Frank Act. [read post]
10 Oct 2014, 3:14 pm
Next on the SEC’s rulemaking front is the Dodd-Frank executive compensation and OTC mandates, she said. [read post]
9 Dec 2015, 6:35 am
In opening remarks, Hensarling said that FSOC, which was created by the Dodd-Frank Act, has received bipartisan criticism for its lack of transparency. [read post]
17 Nov 2016, 7:06 am
By Jacquelyn LumbIn opening remarks at the House Financial Services Committee hearing to consider the SEC’s 2018 budget request, Chair Jeb Hensarling (R-Tex) strongly urged Chair Mary Jo White to resist the temptation to finalize any regulations, including Dodd-Frank Act Title VII regulations, in deference to the right of the incoming administration to set its own priorities. [read post]
2 Nov 2017, 6:33 am
Peter Bresnan, a senior adviser to the director of enforcement, talked about evolution of the PCAOB’s oversight of the audits of broker-dealers, which came about as a result of the Dodd-Frank Act in 2010. [read post]
21 Jul 2017, 5:49 am
By Jacquelyn LumbCommissioner Michael Piwowar participated in a question-and-answer session hosted by the Heritage Foundation titled “SEC, Entrepreneurship and Economic Growth. [read post]
9 May 2022, 4:27 am
In Fernandes, Manhattan Supreme Court Justice Frank P. [read post]
