Dodd-Frank

The Wall Street Reform and Consumer Protection Act (Dodd-Frank) was passed by Congress in 2010. This page provides links to all of the studies mandated by the legislation. The list can be sorted according to agency and date. It also provides commentary on aspects of the legislation, such as the Volcker Rule limiting proprietory trading, as well as international responses.

SEC Issues Study and Recommendations on Section 404(b) of SOX for Issuers with Public Float between $75 and $250 Million

Section 989G(b) of The Dodd-Frank Act mandated a study by the Securities and Exchange Commission on Section 404(b) of the Sarbanes-Oxley Act for issuers with public float between $75 and $250 million.
Originally Published: 
Friday, April 22, 2011

SEC Report Regarding the Status of its Implementation of Organizational Reform Recommendations

The Report, mandated by Section 967 of the Dodd-Frank Act, was prepared to address the recommendations made in March 2011 by the Boston Consulting Group who submitted a Report to Congress examining the internal operations, structure and need for reform at the Securities and Exchange Commission.
Originally Published: 
Friday, September 9, 2011

SEC Requires Shareholder Approval of Executive Compensation and Golden Parachute Compensation

The Securities and Exchange Commission has amended its rules to implement the provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010 relating to shareholder approval of executive compensation and “golden parachute” compensation arrangements.
Originally Published: 
Monday, April 4, 2011

SEC Issues Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934

Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010 established a whistleblower program that requires the Securities and Exchange Commission to pay an award to eligible whistleblowers who voluntarily provide the SEC with original information about a violation of the fed
Originally Published: 
Wednesday, May 25, 2011

U.S. Federal Deposit Insurance Corporation Approves Two “Living Will” Rules

On September 13, 2011, the Federal Deposit Insurance Corporation approved a final rule implementing Section 165(d) of the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010 which requires large and systemically important financial institutions to develop and maintain resolution plans, of
Originally Published: 
Tuesday, September 27, 2011

CFTC-SEC Release Joint Study on the Feasibility of Mandating Algorithmic Descriptions for Derivatives

The Commodity Futures Trading Commission and the Securities and Exchange Commission jointly study the feasibility of requiring the derivatives industry to adopt standardized computer-readable algorithmic descriptions which may be used to describe complex and standardized financial derivatives, and t
Originally Published: 
Thursday, April 7, 2011

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