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Dodd-Frank Wall Street Reform and Consumer Protection Act Disclosure Requirements Securities Regulation

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 -
Carlton Fields

Takeaways from the SEC Roundtable on Executive Compensation Disclosure Rules

Carlton Fields on

On June 26, the Securities and Exchange Commission hosted a roundtable discussion about potential changes to existing executive compensation disclosure requirements. In the lively discussion, panelists representing issuers,...more

Wilson Sonsini Goodrich & Rosati

SEC Announces Upcoming Roundtable on Executive Compensation Disclosure Requirements

On May 16, 2025, the U.S. Securities and Exchange Commission announced that it will host a Roundtable on Executive Compensation Disclosure Requirements on June 26, 2025. SEC Chairman Paul S. Atkins issued a statement on the...more

Winstead PC

SEC Rule 13f-2 and Form SHO: New Short Position Reporting Requirements for Certain Investment Managers

Winstead PC on

The Securities and Exchange Commission (the “SEC”) recently adopted Rule 13f-2 and Form SHO under the Securities Exchange Act of 1934 (the “Exchange Act”), implementing provisions of the Dodd-Frank Wall Street Reform and...more

Seyfarth Shaw LLP

SEC's Private Fund Advisers Rule Struck Down by Fifth Circuit

Seyfarth Shaw LLP on

The Fifth Circuit Court of Appeals (Fifth Circuit) today issued its ruling striking down the “Private Fund Advisers Rule” (the “PFA”). The proposed PFA was introduced on February 9, 2022 (“Proposed Rule”). The Securities and...more

Husch Blackwell LLP

Preparing for December 1 Compliance with NYSE and Nasdaq Clawback Policy Listing Standards

Husch Blackwell LLP on

On June 9, 2023, the Securities and Exchange Commission (SEC) approved the executive compensation clawback listing standards and relevant amendments proposed by the New York Stock Exchange (NYSE) and the Nasdaq Stock Market...more

Nelson Mullins Riley & Scarborough LLP

SEC Adopts “Clawback” Listing Standards and Disclosure Rules

In another move to implement the provisions of 2010’s Dodd-Frank Act, the SEC has adopted final rules that direct national securities exchanges to adopt listing standards that require issuers to adopt and implement recovery,...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Adopts Long-Awaited Final Pay Versus Performance Disclosure Rules

On August 25, 2022, the U.S. Securities and Exchange Commission (SEC) adopted final rules requiring public companies to disclose the relationship between the executive compensation actually paid to the company’s named...more

Mayer Brown Free Writings + Perspectives

SEC Adopts Pay Versus Performance Disclosure Rule

On August 25, 2022, the US Securities and Exchange Commission (SEC) finally adopted a “pay versus performance” rule in accordance with a Dodd-Frank Wall Street Reform and Consumer Protection Act (DoddFrank Act) mandate that...more

Sullivan & Worcester

SEC Adopts Pay-Versus-Performance Disclosure Rules

Sullivan & Worcester on

The Securities and Exchange Commission adopted final rules implementing the pay versus performance requirement as required by Congress in the Dodd-Frank Act. The rules will require registrants to disclose, in proxy or...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Proposes Short Sale Disclosure Rules

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

Mayer Brown Free Writings + Perspectives

The SEC’s Pay-versus-Performance Disclosure Proposal is Back

On January 27, 2022, the US Securities and Exchange Commission (SEC) reopened the comment period for the proposed “pay-versus-performance” rules mandated by the Dodd-Frank Act, which would require disclosure of information...more

Mayer Brown Free Writings + Perspectives

2022 Proxy and Annual Report Season: The Time to Get Started Is Now

Once again, it is time to prepare for the proxy and annual report season. There are many issues to take into consideration when crafting required regulatory disclosures in a manner that conveys effective messaging to the...more

WilmerHale

SEC Announces RegFlex Agenda

WilmerHale on

On June 11, 2021, the Securities and Exchange Commission announced its Spring 2021 Unified Agenda of Regulatory and Deregulatory Actions (RegFlex Agenda). The RegFlex Agenda sets forth the short-term and long-term regulatory...more

Mayer Brown Free Writings + Perspectives

SEC Rulemaking Agenda Released

Last week, the Office of Information and Regulatory Affairs released the Spring 2021 Unified Agenda of Regulatory and Deregulatory Actions, which includes the Securities and Exchange Commission’s rulemaking agenda....more

Mayer Brown Free Writings + Perspectives

Third Time’s the Charm? SEC Adopts Final Disclosure Rules for Resource Extraction Issuers

On December 16, 2020, the US Securities and Exchange Commission (SEC), by a 3-2 vote, adopted final rules requiring annual disclosure on Form SD of payments by SEC reporting companies engaged in the commercial development of...more

Mayer Brown Free Writings + Perspectives

SEC Adopts Final Rules for the Disclosure of Payments by Resource Extraction Issuers

At an open meeting yesterday, the Securities and Exchange Commission (SEC) adopted resource extraction rules, as required by the Dodd-Frank Act.  Resource extraction issuers that file reports pursuant to Securities Exchange...more

Stinson - Corporate & Securities Law Blog

SEC Adopts Final Rules for the Disclosure of Payments by Resource Extraction Issuers

The SEC adopted final rules that will require resource extraction issuers that are required to file reports under Section 13 or 15(d) of the Securities Exchange Act of 1934 to disclose payments made to the U.S. federal...more

Stinson - Corporate & Securities Law Blog

SEC Proposes Rules on Disclosure of Payments by Resource Extraction Issuers

The SEC is proposing Rule 13q-1 and an amendment to Form SD to implement Section 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “DoddFrank Act”) relating to disclosure of payments by resource...more

Mayer Brown Free Writings + Perspectives

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

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

Ballard Spahr LLP

State Attorneys General Seek Injunction Against SEC’s Implementation of Regulation Best Interest

Ballard Spahr LLP on

In a very unusual lawsuit, attorneys general from seven states and the District of Columbia recently sued the SEC, and its chair, Jay Clayton, for declaratory and injunctive relief seeking to block the effectiveness of...more

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