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 Adopts Net Worth Standard for Accredited Investors Under Dodd-Frank Act

In accordance the requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010, the Securities and Exchange Commission has amended its rules to exclude the value of a person’s home from net worth calculations used to determine whether an individual may be classified as an “acc
Originally Published: 
Wednesday, December 21, 2011

SEC Proposes Rules for Registration of Securities-Based Swap Dealers and Major Security-Based Swap Participants

In accordance with the requirements of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010, the Securities and Exchange Commission ("SEC") has proposed rules that lay out the process by which security-based swap dealers and security-based swap participants must
Originally Published: 
Wednesday, October 12, 2011

SEC Jointly Proposes Prohibitions and Restrictions on Proprietary Trading ("Volcker Rule")

As required by Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010, the Securities and Exchange Commission together with the Federal Deposit Insurance Corporation, the Federal Reserve Board, and the Office of the Comptroller of the Currency, has voted to propose a rule
Originally Published: 
Wednesday, October 12, 2011

SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Asset-Backed Securities Transactions

As required by Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010, the SEC has voted to propose a rule intended to prohibit certain material conflicts of interest between those who package and sell asset-backed securities (“ABS”) and those who invest in them.
Originally Published: 
Monday, September 19, 2011

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