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Dodd-Frank Wall Street Reform and Consumer Protection Act › Disclosure Requirements › Proposed Rules

The Dodd-Frank Wall Street Reform and Consumer Protection Act is a United States federal statute signed into law on July 21, 2010. The Act was passed in response to the Great Recession of the late 2000s and... more +
The Dodd-Frank Wall Street Reform and Consumer Protection Act is a United States federal statute signed into law on July 21, 2010. The Act was passed in response to the Great Recession of the late 2000s and includes broad reforms related to many aspects of the financial and banking industry. Notable sections of the Act include stricter regulations of the derivatives market, as well as the Volcker Rule, which restricts the trading practices of FDIC-insured institutions.    less -
Skadden, Arps, Slate, Meagher & Flom LLP

SEC Signals Coming Changes to Executive Compensation Disclosure

Skadden, Arps, Slate, Meagher & Flom LLP on

On June 26, 2025, the Securities and Exchange Commission (SEC) hosted a roundtable on executive compensation disclosure requirements with representatives from public companies, investors, industry groups and advisors. In his...more

Crunched Credit

Regulatory Contagion

Crunched Credit on

Last year, I wrote a commentary entitled Contagion.  That commentary was inspired by the early days of the meltdown of the crypto currency market (long before SBF made the whole space way more notorious with a whiff of...more

Holland & Knight LLP

New Rules of the Road: FTC's Proposed Changes to Car, Boat, Motorcycle and RV Sales Practices

Holland & Knight LLP on

The Federal Trade Commission (FTC) has issued a new proposed rule that aims to make the "motor vehicle"-buying process more clear and competitive, and also allow the FTC to recover money when consumers are misled or charged...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Proposes Short Sale Disclosure Rules

Skadden, Arps, Slate, Meagher & Flom LLP on

On February 25, 2022, the U.S. Securities and Exchange Commission (SEC) announced that it unanimously voted to approve proposed changes requiring certain institutional investment managers (managers) to report short...more

Patterson Belknap Webb & Tyler LLP

SEC Proposes New Rule Requiring Increased Disclosure of Short Sale Information

Patterson Belknap Webb & Tyler LLP on

In 2010, Congress passed the Dodd-Frank Wall Street Reform and Consumer Protection Act, which required the SEC “to prescribe rules to make certain short sale data publicly available no less than monthly.”...more

Herbert Smith Freehills Kramer

The SEC’s New Proposed Rule To Regulate Security-Based Swaps Raises Practical Concerns for the Industry and May Exceed the SEC’s...

Herbert Smith Freehills Kramer on

On Dec. 15, 2021, the U.S. Securities and Exchange Commission (SEC or Commission) proposed Rule 240.9j-1 (the Rule), intended “to prevent fraud, manipulation, and deception in connection with effecting transactions in, or...more

Holland & Knight LLP

Something We Can All Agree On? SEC Unanimously Approves Proposed Short-Seller Disclosure Rules

Holland & Knight LLP on

Section 929X of the Dodd-Frank Act requires the SEC to implement a regulatory framework around the public disclosure of short sale information. On Feb. 25, 2022, the SEC unanimously approved proposed rules aimed at satisfying...more

Cooley LLP

SEC reopens comment period for 2015 pay-versus-performance proposal

Cooley LLP on

It’s been almost 12 years since Dodd-Frank mandated, in Section 953(a), so-called pay-versus-performance disclosure, but amazingly, no rules have yet been adopted to implement that mandate. Even more amazing, the SEC is still...more

A&O Shearman

SEC Proposes New Large Position Reporting Requirements and Prohibitions on Fraud and Manipulation For Security-Based Swaps

A&O Shearman on

On December 15, the Securities and Exchange Commission (SEC) proposed a series of potentially far-reaching changes to the regulation of the security-based swap (SBS) markets. Among other changes, the proposed rules would...more

Faegre Drinker Biddle & Reath LLP

SEC Proposes New Securities Lending Disclosure Rule

Faegre Drinker Biddle & Reath LLP on

Pursuant to Section 984 of the Dodd-Frank Act, the Securities and Exchange Commission (SEC) published for comment proposed Rule 10c-1 (Rule), which is meant to “increase transparency and efficiency” in the securities lending...more

Goodwin

Financial Services Weekly News: Regulators Propose Easing Volcker Rule Restrictions

Goodwin on

In This Issue. Federal financial regulators brought January to an impactful conclusion last week. On the morning of January 30, five federal financial regulators issued a proposed rule that would fundamentally modify the...more

Allen Matkins

The SEC's Extraction Distraction

Allen Matkins on

As noted yesterday, the Securities and Exchange Commission has proposed to amend Form SD to implement Section 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Because the proposed rules relate to...more

Allen Matkins

The SEC's Resource Extraction Rule - A Long Time Coming

Allen Matkins on

Shortly before Christmas, the Securities and Exchange Commission proposed to adopt Rule 13q-1 and an amendment to Form SD to implement Section 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Re-Proposes Rules To Implement Resource Extraction Payment Disclosure Requirements

Skadden, Arps, Slate, Meagher & Flom LLP on

On December 18, 2019, the U.S. Securities and Exchange Commission (SEC) voted in favor of proposing rules to implement the resource extraction issuer disclosure provisions in Section 1504 of the Dodd-Frank Act, which added...more

Dorsey & Whitney LLP

SEC Proposes Resource Extraction Payments Disclosure Rules

Dorsey & Whitney LLP on

At the Securities and Exchange Commission’s (the “Commission”) open meeting on December 18, 2019, the Commissioners proposed rules to require resource extraction issuers to file an annual Form SD that includes information...more

Mayer Brown Free Writings + Perspectives

SEC Open Meeting Now to Address Resource Extraction Payments and Accredited Investor Definition

Mayer Brown Free Writings + Perspectives on

The upcoming Securities and Exchange Commission open meeting for December 18, 2019 will now address additional rulemaking....more

Womble Bond Dickinson

Recent Developments Toward A Fiduciary Standard For Brokers

Womble Bond Dickinson on

Much has happened since we last reported on the Department of Labor’s Fiduciary Rule. The compliance deadline was extended 18 months to July 1, 2019. A federal appellate court vacated the Fiduciary Rule in its entirety. The...more

Vedder Price

Investment Services Regulatory Update - April 2018

Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts - PROPOSED RULES - SEC Proposes Changes to Fund Liquidity Disclosure Requirements - On March 14, 2018, the SEC issued proposed amendments to the disclosure requirements...more

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