News & Analysis as of

Deadlines Dodd-Frank Wall Street Reform and Consumer Protection Act

ArentFox Schiff

Four Months Out: Private Fund Advisors Prepare for September Compliance Deadline Amidst Challenge in the Fifth Circuit

ArentFox Schiff on

In September 2023, we covered the Rules (Rule) published by the US Securities and Exchange Commission (SEC), developed to promote transparency for investors by increasing visibility into compensation schemes, sales practices,...more

Dechert LLP

SEC Finalizes Amendments Governing Beneficial Ownership Reporting

Dechert LLP on

Revised deadlines for initial Schedule 13D and Schedule 13G filings: Schedule 13D: within five business days (rather than 10 calendar days) after crossing the 5% beneficial ownership threshold or losing eligibility to file...more

Wiley Rein LLP

Wiley Consumer Protection Download (March 15, 2021)

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Welcome to Wiley’s update on recent developments and what’s next in consumer protection at the Consumer Financial Protection Bureau (CFPB) and Federal Trade Commission (FTC). In this newsletter, we analyze recent regulatory...more

Goodwin

Volcker Rule Conformance Period for Legacy Covered Fund Activities Extended One Year

Goodwin on

On July 7, 2016, the Board of Governors of the Federal Reserve System announced that it has further extended the conformance period under the Volcker rule until July 21, 2017, to allow banking entities to conform their...more

Katten Muchin Rosenman LLP

Bridging the Week - April 2016 #2

CFTC Again Extends Deadlines for New OCR Compliance; Puts Pressure on FCM Clients Who Will Not Provide Adequate Information Regarding Trading Control - Late last week, staff of the Division of Market Oversight of the...more

Sherman & Howard L.L.C.

Critical SEC Deadline Fast Approaching: December 1 Deadline for Issuers and Obligated Persons to Participate in the SEC’s MCDC...

Sherman & Howard L.L.C. on

While underwriters choosing to participate in the Securities and Exchange Commission’s (“SEC”) Municipalities Continuing Disclosure Cooperation Initiative (the “MCDC Initiative”) were required to self-report violations by...more

Burr & Forman

Municipal Issuers Face Dec. 1 Deadline For MCDC Self-Reporting

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State or local government entities, special tax districts, hospital districts and other municipal bond issuers face a December 1 deadline to respond to the SEC Enforcement Division’s “Municipalities Continuing Disclosure...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Derivatives in Review - July 2014

Extension of Certain Dodd-Frank No-Action Relief - The CFTC recently established a phased compliance timeline for the implementation of the execution requirement currently applicable to certain interest rate swaps and...more

K&L Gates LLP

The SEC Adopts Final Registration Regime and Record-Keeping Obligations for Municipal Advisors

K&L Gates LLP on

As required by the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”), the Securities and Exchange Commission (the “SEC” or Commission”) adopted on September 20, 2013 final rules and forms...more

Latham & Watkins LLP

CFTC Issues Guidance, Exemptions In Advance of SEF Rule Compliance Date

Latham & Watkins LLP on

Staff responds to industry concerns and confusion surrounding SEF operations and onboarding. One of the key aspects of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act) is...more

Ballard Spahr LLP

Cordray advises no delay in mortgage rule implementation

Ballard Spahr LLP on

In a June 19 speech to the Exchequer Club, CFPB Director Richard Cordray advised that the Bureau fully expects all institutions to be in compliance with the new mortgage rules when they become effective in January 2014....more

Skadden, Arps, Slate, Meagher & Flom LLP

"Deadline Approaching for Compensation Committee Charter Amendments"

As a reminder, by July 1, 2013, compensation committee charters must comply with the new New York Stock Exchange (NYSE) and Nasdaq Stock Market (Nasdaq) listing requirements that were approved by the Securities and Exchange...more

Stinson - Corporate & Securities Law Blog

Court Rules Dodd-Frank’s Wells Notice Deadline Is Internal

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

Katten Muchin Rosenman LLP

Agencies Provide Additional Instructions for Submission of Resolution Plans and Extend Deadline

On April 15 the Federal Reserve Board (Board) and the Federal Deposit Insurance Corporation (FDIC) announced the release of additional guidance, clarification and direction for the first group of institutions filing their...more

Mintz - Public Finance Viewpoints

Reminder Regarding April 10 Deadline for Identifying Number Registration by Some Swap End-Users

This is a reminder that tomorrow, April 10, 2013, is the deadline for parties to certain swap agreements to obtain a CICI identifying number. The April 10 deadline applies to any party who entered into a swap after April 25,...more

Morrison & Foerster LLP

Volcker Rule: Guidance on the Conformance Period

On April 19, 2012, the Federal Reserve Board (the “Board”) issued an interpretation that provides some clarity on the time period for a banking entity to comply with the Volcker Rule but that raises two other questions about...more

Orrick, Herrington & Sutcliffe LLP

As Volcker Rule Implementation Lumbers On – Some Practical Considerations

The “Volcker Rule,” enacted into law on July 21, 2010 as Section 619 of the Dodd- Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), subject to certain exceptions, prohibits a “Banking Entity” from...more

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