Citing a need to better protect and inform mutual fund investors, the Securities and Exchange Commission (“SEC”) proposed on July 21, 2010 to replace Rule 12b-1 under the Investment C...
Today, President Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act. Congress has made a policy decision to stage the effectiveness of the law over time, giving fi...
With the President’s signature on July 21, 2010, the Dodd-Frank Wall Street Reform and Consumer Protection Act (“the Act”) is law of the land.
The Act marks the greatest legislativ...
The following slides show the effective dates for various agency rulemakings required, and statutory amendments made, by the Dodd-Frank Wall Street Reform and Consumer Protection Act, ena...
With the President’s signature on July 21, 2010, the Dodd-Frank Wall Street Reform and Consumer Protection Act (“the Act”) is law of the land. The Act marks the greatest legislative...
In an attempt to protect a wider range of issuers from the aberrational pricing experienced by many issuers during the “flash crash” of May 6, 2010, the Securities and Exchange Commis...
On June 25, 2010, the Senate-House conference on the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Bill”) agreed on the final legislative text of the Bill, including...
Early this morning, the House-Senate Conference on the Dodd-Frank Act of 2010 (the “Act”) agreed on the final legislative text of the Act, including Section 619 (the “Volcker Rule?...
On May 26, 2010, the SEC proposed to require FINRA and the SROs to adopt a plan for the development, implementation and maintenance of a consolidated audit trail for the listed equities a...
On May 26, 2010, the Securities and Exchange Commission (the “SEC”) proposed to require the Financial Industry Regulatory Authority and the national securities exchanges (collectively...
