... and Exchange Commission (SEC) Dodd-Frank Act Administrative law judge (ALJ) Administrative proceedings (APs) Over the last two or so years, the US Securities and Exchange Commission (SEC) has found itself the target of mounting criticism surrounding its increased utilization of administrative...

... it and a heavy volume of comments on its rule proposal that urged widely disparate approaches to implementation. In overhauling the proposed rule, the SEC sought to satisfy its mandate under the Dodd-Frank Act while providing companies with flexibility in implementing the new rule that it believes will reduce...

... a year of the publication of the SEC clawback rules in the Federal Register. Given this interaction between the SEC and the national stock exchanges, it is unlikely that any new clawback listing standards will be in effect before late 2016. Dodd-Frank Act Securities and Exchange Commission (SEC...

... that both the pay-for-performance and CEO pay ratio provisions under the Dodd-Frank Act were intended to provide shareholders with information to help assess a company’s executive compensation when exercising their rights to cast say-on-pay votes, and that the new pay-for-performance disclosure will provide...

... and procedure. Benjamin Neaderland can be contacted at: benjamin.neaderland@wilmerhale.com © Authors 2015 Dodd-Frank act Securities and Exchange Commission (SEC) Enforcement Investigation Statute of limitations Wells notice 3 SEC v. Graham, Case No. 13-10011...

... of whistleblowers. Amy J. Greer can be contacted at: agreer@morganlewis.com © Authors 2015 Dodd-Frank Act Whistleblower Enforcement Securities and Exchange Commission (SEC) Confidentiality clauses On April 30, US Securities and Exchange Commission (SEC or the Commission) Chair...

... on confidentiality provisions of a company agreement, highlights the provision that the SEC found to be a violation of federal securities laws as amended by the Dodd-Frank Act, and summarizes several other related recent federal regulatory developments. The article suggests actions that companies may wish to take...

... a requirement of the Dodd-Frank Act, which provides that any party that provides advice to a Borrower regarding municipal financial products or the issuance of municipal securities must register with the SEC and the MSRB as a Municipal Advisor, unless such party qualifies for an exception or exemption under...

...Paul M. Architzel; Gail C. Bernstein; Mahlet Ayalew Purpose – The Dodd-Frank Act added a number of prohibited trading practices on futures markets and swap execution facilities. In May 2013, the CFTC issued guidance on how it intends to interpret these prohibitions. Persons trading...

... (CFTC) Dodd‐Frank Act Derivatives clearing organization Credit Portfolio investment United States of America Prior to the adoption of the Dodd‐Frank Act [1] , market participants routinely traded swaps – such as credit default swaps (“CDS”) – bilaterally and held the resulting swap...

... contracts. Findings The paper finds that these increased dollar thresholds codify the increased thresholds that the Commission issued in its July 12, 2011 order as required by the Dodd‐Frank Act. Originality/value The paper provides practical guidance from an experienced financial services lawyer...

... landscape in 2012. Design/methodology/approach The paper provides a general overview of the new regulatory regime that the Dodd‐Frank Act imposes on over‐the‐counter (OTC) derivatives; describes the rescission of a regulatory exclusion from the commodity pool operator (CPO) definition...

...James E. Earle; Allison Wilkerson Purpose The purpose of this paper is to explore the requirements of Section 954 of the Dodd‐Frank Act, “Recovery of erroneously awarded compensation”, and what companies should currently be doing in anticipation of these requirements. Design/methodology...