The Dodd-Frank Act and Foreign Private Issuers: U.S. Financial Reform Creates New Risks and Obligations for Foreign Businesses Listed in the U.S. or Otherwise Subject to SEC Reporting Requirements


On July 21, 2010, U.S. President Barack Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank). Intended as a response to the financial crisis of 2008, this legislation is both fundamentally changing the regulatory landscape for the financial services industry and reforming numerous areas of U.S. securities regulation that impact U.S. public companies in general. Certain provisions of Dodd-Frank apply to foreign private issuers as of its enactment, while other provisions either do not apply or may apply at a later date subject to rulemaking by the Securities and Exchange Commission (the SEC). Key impacts of Dodd-Frank on foreign companies are highlighted below and described in greater detail later in this client advisory.

Please see full advisory below for more information.

LOADING PDF: If there are any problems, click here to download the file.

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

© Mintz Levin | Attorney Advertising

Written by:


Mintz Levin on:

Readers' Choice 2017
Reporters on Deadline

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.

Already signed up? Log in here

*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.