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cumulative impact of the Dodd-Frank Act registration changes has been a 10% decrease in the number of advisers registered with the Commission, but a 13% increase in the total assets under management of those registered advisers (Fig. 7). Figure 7: Number of SEC-Registered Advisers and Assets Under Management 7,560 7,840 8,288 8,605 10,274 More @Wikipedia
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- Dodd-Frank Act Rulemaking: Specialized Corporate Disclosure - SEC.govSpecialized Corporate Disclosure. Background: Title XV of the Dodd-Frank Wall Street Reform and Consumer Protection Act contains several specialized disclosure provisions.
- Implementing the Dodd-Frank Wall Street Reform and Consumer Protection ActThe Commission’s rule implementing Section 1504 was invalidated on February 14, 2017, by a joint resolution of disapproval enacted pursuant to the Congressional Review Act. The Commission adopted a new rule on December 16, 2020.
- Dodd-Frank Act Rulemaking: Credit Rating Agencies - SEC.govThe Dodd-Frank Wall Street Reform and Consumer Protection Act enhances the SEC’s enforcement mechanisms, and adds a number of requirements on NRSROs that are immediately effective (i.e., do not depend on SEC rulemaking). The Dodd-Frank Act also requires the Commission to adopt a number of new rules concerning: Annual reports on internal controls
- Dodd-Frank Act Rulemaking: Whistleblower Program - SEC.govWhistleblower Program. Background: Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act provides that the Commission shall pay awards to eligible whistleblowers who voluntarily provides the SEC with original information that leads to a successful enforcement action yielding monetary sanctions of over $1 million.
- SEC Adopts Rules for Say-on-Pay and Golden Parachute ... - SEC.gov"The Dodd-Frank Act authorizes the Commission to exempt an issuer or class of issuers, but only after considering a number of factors including whether this disproportionate burden exists. The two-year deferral period is designed to assist the Commission in its consideration of these factors and will enable us to adjust the rule if appropriate ...
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