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Dodd-Frank Wall Street Reform and Consumer Protection Act Government Accountability Office Securities and Exchange Commission (SEC)

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 -
Davis Wright Tremaine LLP

New Administration Outlook: A Possible Roadmap to What's Ahead for the CFTC Under New Leadership

On January 20, 2025, the Commodity Futures Trading Commission ("CFTC") unanimously elected Commissioner Caroline D. Pham as acting chairman. The Administration has not yet identified who will be nominated for the position of...more

Cooley LLP

In new GAO report, some distressing news about SEC’s conflict minerals rules and violence in DRC

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“Conflict Minerals—Peace and Security in Democratic Republic of the Congo Have Not Improved with SEC Disclosure Rule.” That is the title of the final required report of the U.S. Government Accountability Office, the last of...more

Cooley LLP

Blog: GAO issues annual report on conflict minerals filings

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Under Dodd-Frank, the GAO is required to assess annually the effectiveness of the SEC’s conflict minerals rules in promoting peace and security and to report on the rate of sexual violence in the DRC and adjoining countries....more

Cooley LLP

Blog: GAO issues annual report on conflict minerals filings in 2017

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Under Dodd-Frank, the GAO is required to assess annually the effectiveness of the SEC’s conflict minerals rules in promoting peace and security and to report on the rate of sexual violence in the DRC and adjoining countries....more

Cooley LLP

Blog: GAO Report On Gold Supply Chain Reveals Little Progress In Responsible Sourcing

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The GAO has issued a new report on conflict minerals focused in this instance on the supply chain for artisanal and small-scale mined (ASM) gold in the DRC region. The report also addressed efforts to encourage responsible...more

Cooley LLP

Blog: GAO Issues Annual Report Showing Only Slight Progress In Disclosures On Conflict Minerals

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The GAO has recently issued its third annual report on conflict minerals. The GAO is required by Dodd-Frank to report annually on the effectiveness of the SEC’s conflict minerals rule in promoting peace and security in the...more

Stinson - Corporate & Securities Law Blog

GAO Reports on 2015 Conflict Minerals Form SDs

GAO released an analysis of a generalizable sample of conflict minerals disclosures filed with SEC in 2015. The analysis found that an estimated 49 percent of companies in 2015 reported having determined whether the conflict...more

Cooley LLP

Blog: GAO Issues Second Annual Conflict Minerals Report

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The GAO has issued its annual conflict minerals report to Congress, entitled “Companies Face Continuing Challenges in Determining Whether Their Conflict Minerals Benefit Armed Groups.” The GAO is required to report annually...more

Seyfarth Shaw LLP

New GAO Report Highlights Challenges in Complying with Conflicts Minerals Rule

Seyfarth Shaw LLP on

Seyfarth Synopsis: Companies are experiencing difficulties in complying with their disclosure responsibilities under the SEC’s conflict mineral requirements. The Government Accountability Office (GAO) recently released a...more

Goodwin

Financial Services Weekly News - January 2016

Goodwin on

Regulatory Developments - CFPB Responds To Industry’s TRID Implementation Concerns: On Dec. 29 the CFPB responded to a letter by the Mortgage Bankers Association (MBA) from Dec. 21. The MBA letter asked the CFPB to...more

Cooley LLP

Blog: House Hearing On Conflict Minerals Rule: A Mixed Bag

Cooley LLP on

At a hearing last week before a subcommittee of the House Financial Services Committee, the members heard testimony regarding the Dodd-Frank conflict minerals provision. The Chair expressed concern that the provision was...more

Morrison & Foerster LLP

Financial Services Report, Fall 2015

BELTWAY - Straight Out of the Seventh Circuit The Seventh Circuit recently affirmed a lower court’s ruling that the SEC cannot be sued in district court to stop it from bringing an administrative action. Bebo v. SEC, No....more

Bilzin Sumberg

Recomendaciones del Comité Asesor: una señal positiva para las empresas del sur de Florida

Bilzin Sumberg on

En una publicación previa, hablamos sobre la decisión de la SEC de permitir que las empresas captaran a inversores acreditados y lo que esto significaría para el crecimiento de las compañías en Florida. Ahora la SEC está...more

Morrison & Foerster LLP - JOBS Act

Remarks of Sebastian Gomez Abero, Chief of the SEC’s Office of Small Business Policy, in an ALI Webcast Titled “Crowdfunding and...

On May 22, 2014, Sebastian Gomez Abero, Chief of the Office of Small Business Policy of the Division of Corporation Finance of the SEC, spoke about the SEC’s crowdfunding and Regulation A+ proposals. Mr. Gomez commented...more

Stoel Rives LLP

In Case You Missed It - Interesting Items for Corporate Counsel (Update) - September 11, 2013

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As we run up the September 23 effective date of rules eliminating the prohibition on general solicitations under Regulation D and wait for final SEC "process" rules, a few additional resources are below(summary of comments on...more

Stinson - Corporate & Securities Law Blog

GAO Completes Report On Accredited Investor Standard

GAO has completed a report mandated by the Dodd-Frank Act on the accredited investor standard. ...more

Morrison & Foerster LLP - JOBS Act

GAO Study on the Accredited Investor Standard

The Dodd-Frank Act mandated that the GAO conduct a study regarding the “accredited investor” standard in order to understand whether the existing criteria serves the intended purpose or whether alternative criteria should be...more

Mintz - Public Finance Viewpoints

Financial Services Legislative and Regulatory Update -- June 24‚ 2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - Despite some concerns about the slowing growth in China, some...more

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