As most listed public companies know, as a result of the Dodd-Frank Act, the stock exchanges have adopted rules regarding the independence of compensation committees and their advisers. NASDAQ and the NYSE require the first...more
5/3/2013
- Compensation Committee Dodd-Frank Executive Compensation
The CFPB has issued a report on payday and deposit advance loans finding that for many consumers these products lead to a cycle of indebtedness. The loans generally have three features: they are small-dollar amounts;...more
4/26/2013
- CFPB Deposit Advances FDIC OCC Payday Loans
Section 929U of the Dodd-Frank Act provides:
Not later than 180 days after the date on which Commission staff provide a written Wells notification to any person, the Commission staff shall either file an action against...more
4/24/2013
- Deadlines Dodd-Frank Wells Notice
The SEC has disclosed data related to complaints in fiscal year 2012. During Fiscal 2012, the SEC’s Office of Investor Education and Advocacy closed 29,291 files relating to complaints, questions, and other contacts received...more
2/28/2013
- Enforcement Actions Facebook Investors IPO Ponzi Scheme SEC
The GAO recently published a study in which it reviewed empirical and other studies on the impacts of financial crises and the Dodd-Frank reforms, as well as congressional testimonies, comment letters, and other public...more
2/15/2013
- Dodd-Frank GAO
GAO recently issued a report on the status of Dodd-Frank rulemaking. Overall, GAO identified 236 provisions of the act that require regulators to issue rulemakings across nine key areas. As of December 2012, regulators had...more
1/28/2013
- Dodd-Frank GAO
The SEC has approved new rules requiring broker-dealers to conduct searches for holders of securities with whom they have lost contact. ...more
12/24/2012
- Broker-Dealer SEC
