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Dodd-Frank Wall Street Reform and Consumer Protection Act This is a Study of the Staff of the . U.S. Securities and Exchange Commission . January 2011 . This is a study by the Staff of the U.S. Securities and Exchange Commission. The Commission has expressed no view regarding the analysis, findings, or conclusions contained herein. More @Wikipedia
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- Study on Investment Advisers and Broker-Dealers - SEC.govDodd-Frank Wall Street Reform and Consumer Protection Act This is a Study of the Staff of the . U.S. Securities and Exchange Commission . January 2011 . This is a study by the Staff of the U.S. Securities and Exchange Commission. The Commission has expressed no view regarding the analysis, findings, or conclusions contained herein.
- Final Rule: Reporting by Investment Advisers to Private Funds and ...The Dodd-Frank Act anticipates that various regulatory agencies, including the Commissions, will support FSOC. 9. To that end, the Dodd-Frank Act amended section 204(b) of the Advisers Act to require that the SEC establish reporting and recordkeeping requirements for advisers to private funds, 10. 6. See Sections 113 and 120 of the Dodd-Frank Act.
- Whistleblower Protections - SEC.govThe Dodd-Frank Wall Street Reform and Consumer Protection Act expanded the protections for whistleblowers and broadened the prohibitions against retaliation. Following the passage of Dodd-Frank, the SEC implemented rules that enabled the SEC to take legal action against employers who have retaliated against whistleblowers.
- 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
- 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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