News & Analysis as of

Dodd-Frank Wall Street Reform and Consumer Protection Act Capital Formation

The Dodd-Frank Wall Street Reform and Consumer Protection Act is a United States federal statute signed into law on July 21, 2010. The Act was passed in response to the Great Recession of the late 2000s and... more +
The Dodd-Frank Wall Street Reform and Consumer Protection Act is a United States federal statute signed into law on July 21, 2010. The Act was passed in response to the Great Recession of the late 2000s and includes broad reforms related to many aspects of the financial and banking industry. Notable sections of the Act include stricter regulations of the derivatives market, as well as the Volcker Rule, which restricts the trading practices of FDIC-insured institutions.    less -
Dechert LLP

Ratings Agencies in the Crosshairs

Dechert LLP on

Back in the febrile, hyperventilated times that birthed the Dodd-Frank Wall Street Reform and Consumer Protection Act (blessedly known simply as Dodd-Frank), one of the issues that energized the activists’ intent on “fixing”...more

Parker Poe Adams & Bernstein LLP

Important Consumer Rights Take Effect as Part of Dodd-Frank Modifications

The Economic Growth, Regulatory Relief, and Consumer Protection Act takes effect on Friday, September 21. The act modifies the Dodd-Frank Wall Street Reform and Consumer Protection Act in a variety of ways, including with...more

BakerHostetler

House OKs JOBS Act 3.0, but Capital Formation Bill on Hold Amid Senate Talks

BakerHostetler on

Last month the House overwhelmingly approved a package of rifle-shot changes to financial services laws, but competing priorities and election-year politics are complicating its consideration in the Senate....more

Stinson - Corporate & Securities Law Blog

Jobs Act 3.0

This statement from Congresswoman Maxine Waters (D-CA), Ranking Member of the House Committee on Financial Services, confirms the House continues to work on JOBS Act 3.0. ...more

White and Williams LLP

The Economic Growth, Regulatory Relief and Consumer Protection Act Amends a Key Provision of Rule 701

White and Williams LLP on

The Economic Growth Regulatory Relief and Consumer Protection Act, which was signed into law by President Trump on May 24, 2018, directs the US Securities and Exchange Commission (SEC) to amend a significant provision of Rule...more

Morrison & Foerster LLP

Not Just for Banks: Congress Passes Legislation Providing Relief from Dodd-Frank Era Regulations Restricting Capital Formation

On May 24, 2018, President Trump signed into law the Economic Growth, Regulatory Relief, and Consumer Protection Act (the “Act”). While much of the Act was designed to provide smaller financial institutions and community...more

Farrell Fritz, P.C.

SEC Reporting Companies Soon to be Regulation A+ Eligible

Farrell Fritz, P.C. on

Buried in new legislation mainly intended to ease Dodd-Frank restrictions on small banks is an expansion of Regulation A eligibility to include SEC reporting companies. ...more

Stinson - Corporate & Securities Law Blog

Dodd-Frank Rollback Requires Changes to Regulation A+ and Rule 701

The Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155), which is primarily aimed at easing regulations on community banks, also contains provisions designed to facilitate capital formation. President...more

Morrison & Foerster LLP - JOBS Act

Capital Formation Bills Pass House Financial Services Committee

On November 15, the House Financial Services Committee approved 23 bills, which included various bills that facilitate capital formation and reduce certain regulatory requirements.? Chairman of the Committee, Jeb Hensarling,...more

McDermott Will & Emery

Capital Markets & Public Companies Quarterly: Capital Formation, Dividend Notice and Pay Ratio Q3 Updates

McDermott Will & Emery on

During the previous quarter, the SEC confirmed that CEO pay ratio disclosure will go into effect as scheduled for the 2018 proxy season. They further announced a new policy permitting qualifying issuers to submit draft...more

Dechert LLP

Welcome to Stockholm! We Are Learning To Love Our Regulatory State

Dechert LLP on

As an industry, we remain in high dudgeon over the inanity of much of Dodd-Frank, the ideological and often unhinged regulatory instincts of our various governments and the vast amount of effort, time and money it takes to...more

Stinson - Corporate & Securities Law Blog

Treasury Issues Plan to Streamline Capital Markets Regulation

Pursuant to Executive Order 13772, the Treasury Department has issued a report that identifies laws, treaties, regulations, guidance, reporting and record keeping requirements, and other government policies that promote or...more

Morrison & Foerster LLP - JOBS Act

SEC Chair Clayton’s Testimony

Earlier in the week, SEC Chair Clayton provided testimony in Congress regarding the Commission’s agenda. In his testimony, Chair Clayton noted that the Commission remains focused on regulatory initiatives required by the FAST...more

Morrison & Foerster LLP - JOBS Act

Access to Capital and Liquidity

The SEC’s Division of Economic and Risk Analysis (DERA) recently produced a Report to Congress regarding the impacts of the Dodd-Frank Act on access to capital for consumers, investors, and businesses, and market liquidity. ...more

Morrison & Foerster LLP

CHOICE Act: Reform or Recalibration?

In the last session of the US Congress in mid-2016, representative Jeb Hensarling first introduced the Financial CHOICE (Creating Hope and Opportunity for Investors, Consumers, and Entrepreneurs) Act. This represented an...more

Morrison & Foerster LLP - JOBS Act

Legislation Relating to Capital Formation

As the 115th United States Congress is currently in session, a number of bills designed to promote capital raising for companies have been introduced in both the House and the Senate. In the last two months, both the House...more

WilmerHale

SEC Chair Nominee Testifies at Confirmation Hearing

WilmerHale on

On Thursday, March 23, Jay Clayton, President Trump’s nominee for Chair of the Securities and Exchange Commission, testified before the Senate Banking committee at his confirmation hearing. In both his prepared statement...more

Stinson - Corporate & Securities Law Blog

A Window into Trump’s SEC?

Insights into an SEC composed of Trump appointees can be gleaned from Financial Services Committee Chairman Jeb Hensarling’s (R-TX) opening statements at a committee hearing on SEC oversight, with testimony by outgoing SEC...more

King & Spalding

House Financial Services Committee Votes To Repeal And Replace Dodd-Frank

King & Spalding on

On September 13th, the House Financial Services Committee approved the Financial CHOICE Act of 2016 to repeal and replace key parts of the 2010 Dodd-Frank law by a largely partisan vote of 30 to 26. Democrats declined to...more

Morrison & Foerster LLP

The Financial Choice Act: Implications for the U.S. Securities Legal Framework

On September 13, 2016, the House Financial Services Committee of the United States House of Representatives (the “FSC”) formally released H.R. 5983, the “Financial CHOICE Act” (the “CHOICE Act”). While the CHOICE Act has...more

Morrison & Foerster LLP - JOBS Act

The Plan to Replace Dodd-Frank: The Financial CHOICE Act

On June 7, in a speech to the Economic Club of New York, House Financial Services Committee Chairman Jeb Hensarling announced the Republican plan to replace the Dodd-Frank Act. The Financial Creating Hope and Opportunity for...more

Morrison & Foerster LLP - JOBS Act

JOBS Act Quick Start – A Brief Overview of the JOBS Act, 2016 Update

Many market participants were taken by surprise by the enactment of the Jumpstart Our Business Startups (JOBS) Act. The JOBS Act, HR 3606, was passed by the United States House of Representatives on March 8, 2012. On March...more

Skadden, Arps, Slate, Meagher & Flom LLP

"SEC Rulemaking Update: A Year of Changes, With More to Come"

Last year, the Securities and Exchange Commission (SEC) made major progress in completing its rulemaking mandates under the Jumpstart Our Business Startups Act (JOBS Act) and the Dodd-Frank Act. Additionally, Congress enacted...more

Morrison & Foerster LLP - JOBS Act

Brief Updates on Capital Formation and Related Matters

At today’s meeting of the American Bar Association’s Federal Regulation of Securities Committee meeting in Washington, DC, various representatives from the Securities and Exchange Commission provided some comments and...more

Latham & Watkins LLP

Coming to America – A Guide for FPIs

Latham & Watkins LLP on

In this Issue: - The Latham FPI Guide: Accessing the US Capital Markets From Outside the United States - Chapter 1: Background - Chapter 2: Unregistered Global Offerings – Regulation S, Rule 144A and...more

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