Article Filter

SEC Releases Study on Enhancing Investment Adviser Examinations

Section 914 of The Dodd-Frank Wall Street Reform and Consumer Protection Act 2010 mandates that the Securities and Exchange Commission conduct a study to review and analyze the need for enhanced examination and enforcement resources for investment advisers.
Originally Published: 
Wednesday, January 19, 2011

Federal Reserve Board Reports to Congress on Risk Retention

Section 941(c) of the Dodd–Frank Wall Street Reform and Consumer Protection Act 2010 requires that the Federal Reserve Board conduct a study on the effect of the new risk retention requirements to be developed and implemented by the federal agencies.
Originally Published: 
Tuesday, October 19, 2010

Pages