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Tag: Dodd Frank
Law Firms Analyze New Regulation of Derivatives
September 07, 2010
The Dodd-Frank Act, the Wall Street Transparency and Accountability Act of 2010, imposes a broad new regime for regulating the financial services industry, including a new regulatory framework for derivatives, This new regime of regulation for complex securities and over the counter markets will have profound… read more
A Closer Look at the New Financial Product Regulator
September 13, 2010
The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 authorizes the creation of a new agency, the Consumer Financial Protection Agency (CFPA), charged with regulating the ways in which financial products and services are offered or sold for consumer purposes (i.e., personal, family, or household… read more
SEC Postpones Some Dodd-Frank Rulemaking for Budgetary Reasons
December 07, 2010
The Securities and Exchange Commission has announced that it will delay some of the regulatory and structural changes contemplated by the Dodd-Frank Act due to uncertainty regarding the agency's budget. It appears that bickering in Congress about the federal budget has caused the SEC… read more
Gibson Dunn on Systemically Significant Financial Companies
January 21, 2011
In a recent publication, lawyers at Gibson Dunn take a look at "Systemically Significant Financial Companies" under the Dodd-Frank Act. They posit that, under the terms provided in the legislation, it is possible that a wide variety of non-bank institutions may be swept into the… read more
GAO Issues Report on Securities Lending
March 25, 2011
On March 16, the Government Accountability Office issued a report on securities lending. This report, mandated by the Dodd-Frank Act, lays out recommendations to help employers and participants better understand the risks of "securities lending" in 401(k) plans. As we mentioned in our August 12,… read more
SEC Delays Some Dodd-Frank Rulemaking
August 04, 2011
As it has on other occasions since the Dodd-Frank legislation was passed, the SEC has once again delayed action on a number of rulemaking and investor proteciton activities mandated by the legislation. Though many of the delayed rulemaking relates to executive compensation and say-on-pay, quite… read more