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Financial Stability Oversight Council Reports to Congress on Prompt Corrective Action

In accordance with section 202(g)(4) of the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010, the Financial Stability Oversight Council has submitted a report to Congress regarding the implementation of prompt corrective action (“PCA”) by the federal banking agencies.

Originally Published:

Friday, December 23, 2011

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 Approves Confidential Private Fund Risk Reporting

In accordance the requirements of Sections 404 and 406 of the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010, the Securities and Exchange Commission has approved a new rule requiring certain advisers to hedge funds and other private funds to report information for use by the Financi

Originally Published:

Wednesday, October 26, 2011

Federal Reserve Bank Governance Reports on Opportunities To Broaden Director Recruitment Efforts and Increase Transparency

Sections 1109A and 1109B of the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010 required Government Accountability Office to review the governance of the Reserve Banks.

Originally Published:

Wednesday, October 19, 2011

Financial Stability Oversight Council Issues Proposed Rule and Guidance on Authority to Require Supervision and Regulation of Certain Non-Bank Financial Companies

The proposed rule and attached guidance describe the manner in which the Financial Stability Oversight Council intends to apply the statutory standards and considerations, and the processes and procedures that the Council intends to follow, in making determinations under section 113 of the Dodd-Fran

Originally Published:

Tuesday, October 18, 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 Reports on Examinations of Each Nationally Recognised Statistical Rating Organisation

Section 932 of the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010 imposes new reporting, disclosure and examination requirements on the Securities and Exchange Commission with respect to Nationally Recognised Statistical Rating Organisations.

Originally Published:

Friday, September 30, 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

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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