SEC's Dodd-Frank Rulemaking
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SEC & Securities Law 
Dodd-Frank
Dodd-Frank
SEC's Dodd-Frank Rulemakings
WilmerHale: Year Three of the SEC Whistleblower Program: Will It Turbocharge SEC Enforcement?
May 13, 2013
SEC Actions Dodd-Frank Whistleblowing Rules
Latham & Watkins: Attorneys as SEC Whistleblowers: Can an Attorney Blow the Whistle on a Client and Get a Monetary Award?
May 09, 2013
SEC Actions Dodd-Frank Whistleblowing Rules
- SEC's Crisis Response
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- June 2011
- SEC Proposes Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
- SEC Actions Dodd-Frank Act Provisions on Investment Adviser Registration
- SEC Adopts Exemptions From Investment Adviser Registration for VC's, Smaller Funds & Foreign Advisers
- SEC Adopts "Family Offices" Exemption from Investment Adviser Registration Rules
- CFTC and SEC Defer Dodd-Frank Swaps Requirements
- SEC "Re-Adopts" Beneficial Ownership Rules for Equity-Based Swaps
- May 2011
- SEC Actions Dodd-Frank Whistleblowing Rules
- SEC Disqualifies Felons & "Bad Actors" From Rule 506 Offerings
- SEC Actions Dodd-Frank Provisions Re: Credit Ratings/Agencies
- SEC Proposes to Increase Investment Advisers Act "Qualified Client" Thresholds
- April 2011
- SEC/CFTC Issue Definitions for "Swap" & "Security-based Swap"
- March 2011
- SEC (et al) Propose Risk Retention ("Skin in the Game") Rules for Securitizations
- SEC (et al) Propose Incentive-Based Compensation Rules for Financial Institutions
- SEC Proposes New Rules for Compensation Committees & Compensation Advisers
- February 2011
- CFTC & SEC Propose Rules For Swap Execution Facilities
- SEC Revises Exchange Act Reporting Obligations for ABS Issuers
- January 2011
- SEC & CFTC Propose Reporting Obligations for Advisers to Private Funds
- SEC Requires New Reps & Warranties Disclosure in ABS Offerings
- SEC Actions Dodd-Frank Act Changes to "Accredited Investor" Definition
- SEC Adopts Say-on-Pay, Golden Parachute Rules
- SEC Requires Issuer Diligence/Disclosure on Pool Assets in ABS Offerings
- December 2010
- SEC Proposes Rules Requiring Registration of Municipal Advisers
- SEC & CFTC Propose "End-User" Exception to Mandatory Swaps Rules
- Swap Dealers & Major Swap Participants Defined
- SEC Issues Trio of Disclosure Rules Under Dodd-Frank Impacting Mining & Resource Extraction Issuers
- November 2010
- SEC Extends Fraud/Manipulation Rules to Cover Security-Based Swaps
- Regulation SHO: SEC Adopts Alternative Uptick Rule For Short-Sales
- SEC Proposal to Effectively Prohibit "Unfiltered" Market Access
- October 2010
- SEC Proposal To Require Institutional Investment Managers To Report on Executive Compensation Voting
- September 2010
- SEC Amends Regulation FD to Remove Credit Rating Agency Exemption
- SEC Eliminates Auditor Attestation Reports for Non-Accelerated Filers
- NYSE Ends Broker Discretionary Voting for Directors
- SEC Guidance on Liquidity/Funding Risks in MD&A
- August 2010
- SEC Adopts (& Stays) Proxy Access Rules
- July 2010
- SEC's "Proxy Plumbing" Concept Release
- SEC Enacts "Pay to Play" Prohibitions for Investment Advisers
- June 2010
- SEC Approves FINRA/Exchanges Circuit Breaker Rules
- May 2010
- SEC Proposes Consolidated Audit Trail For Equity Securities
- April 2010
- SEC's Proposed Large Trader Reporting System
- February 2010
- SEC Approves Money Market Reform
- January 2010
- SEC Concept Release on Equity Market Structure (eg High Frequency Trading)
- December 2009
- SEC's Proxy Disclosure Enhancements
