... changes, and its belief that its systems are fair. Originality/value Practical guidance from experienced financial services and securities litigation lawyers. Securities and Exchange Commission (SEC) Dodd-Frank Act Administrative law judge (ALJ) Administrative proceedings (APs) Over...

... 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...

... individual from whom, as of the end of the last completed fiscal year, excess incentive-based compensation had been outstanding for 180 days or more and the amount of such outstanding compensation. Dodd-Frank Act Securities and Exchange Commission (SEC) Executive compensation Clawback Incentive...

... concern to public companies and financial institutions in light of the increased focus by SEC enforcement. 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 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...

.../value – Practical guidance from experienced securities and capital markets attorneys. David H. Engvall can be contacted at: dengvall@cov.com © Authors 2015 Dodd-Frank Act Pay for performance Securities and Exchange Commission (SEC) Actual compensation Total shareholder return...

... 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 In two cases recently brought before US Courts of Appeals...

... 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...

... Credit default swaps Portfolio margining Securities and Exchange Commission (SEC) Commodity Futures Trading Commission (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...

... 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...

... 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...

...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...