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Bookmark or Share- SEC.gov | Statutes and RegulationsThe Dodd-Frank Wall Street Reform and Consumer Protection Act was signed into law on July 21, 2010 by President Barack Obama. The legislation set out to reshape the U.S. regulatory system in a number of areas including but not limited to consumer protection, trading restrictions, credit ratings, regulation of financial products, corporate ...
- Dodd-Frank Act Rulemaking: Derivatives - SEC.govThe Dodd-Frank Act provides the SEC with access to information relating to security-based swap agreement in the possession of the CFTC and certain CFTC-regulated entities, such as derivatives clearing organizations, designated contract markets, and swap data repositories. Implementation: There are a number of rulemakings required under Title VII.
- 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. The ...
- Dodd-Frank Act Rulemaking: Specialized Corporate Disclosure - SEC.govIssuers are not required to provide their disclosures until their first annual report ending at least one year after the date on which the Commission issues its final rules. Implementation: On December 15, 2010, the Commission proposed rules to implement Sections 1502, 1503 and 1504 of the Dodd-Frank Act. The proposing releases can be found at ...
- Final Rule: Covered Broker-Dealer Provisions under Title II of the Dodd ...Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, Pub. L. 111–203, 124 Stat. 1376 (2010) and codified at 12 U.S.C. 5301 et seq. Title II of the Dodd-Frank Act is codified at 12 U.S.C. 5381-5394. 2. See 12 U.S.C. 5384 (pertaining to the orderly liquidation of covered financial companies).
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