On November 4, 2010, the Securities and Exchange Commission (“SEC”) and U.S. Department of Justice (“DOJ”) announced much-anticipated resolutions of Foreign Corrupt Practices Act ...
Yesterday the SEC announced and issued proposed rules that would implement the whistleblower provisions of the Dodd-Frank Act. The rules attempt to advance the Act’s goal of encouragin...
The SEC today announced settled Reg FD charges against Office Depot and its CEO and former CFO related to “signals” that Office Depot made in one-on-one conversations with analysts im...
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...
The following chart compares the provisions of the Restoring American Financial Stability Act of 2010, passed by the Senate on May 20, 2010, and the Wall Street Reform and Consumer Protec...
On May 20, 2010, the Senate passed the Restoring American Financial Stability Act of 2010 (the “Senate bill” or the “bill”) by a vote of 59 to 39. Four Republicans voted with the ...
I. Institutional Arrangements
Financial Stability Oversight Council. Interagency Council, consisting of 9 voting members – the Treasury Secretary (Chairperson) and the heads of Fed, OCC...
As we have previously discussed, the Securities and Exchange Commission (“SEC”) recently issued guidelines for assessing individual cooperation in investigations and enforcement actio...
As we have previously discussed, the Securities and Exchange Commission (“SEC”) Director of Enforcement Robert Khuzami recently unveiled new tools designed to help the SEC Staff accel...
