One of the outstanding issues relating to the Dodd-Frank Act was the SEC’s use of statutory power to regulate conduct that occurred prior to its enactment in July 2010.
The
Continue Reading The SEC Reluctantly Vacates Collateral Bars After Court Loss
According to Bloomberg, Trump plans to order a review of Dodd-Frank, with an eye to significantly scale back the regulations. Trump also plans to do away with the “fiduciary
Continue Reading Trump Sets Plan In Motion To Dismantle Dodd-Frank
According to Fortune, outgoing Securities and Exchange Commission Chair Mary Jo White is refusing to delay adoption of new rules and regulations. Senate Republicans–in particular the Senate Banking Committee’s
Continue Reading SEC Chair White Refuses To Delay New Rules
Now that the election is over, it remains to be seen whether a Trump administration will do away with Dodd-Frank and dump the Department of Labor fiduciary duty rule as
Continue Reading Dodd What
The Securities and Exchange Commission released its 2015 Annual Report on its Whistleblower Program this week and announced another rise in the number of whistleblower tips that it received. The
Continue Reading Whistleblower Tips Rise Again in 2015
As we predicted last month, the Securities and Exchange Commission adopted a final rule that requires a public company to disclose the ratio of the compensation of its CEO
Continue Reading CEO-Pay Ratio Rule Adopted by the SEC
According to Andrew Ackerman and Joann Lublin of the Wall Street Journal, the Securities and Exchange Commission is “poised to complete a rule requiring companies to disclose the pay
Continue Reading A Look Ahead: SEC to Adopt CEO-Pay Ratio Rule?
The number of whistleblower tips to the Securities and Exchange Commission (SEC) continues to rise, according to the SEC’s 2014 Annual Report to Congress on the Dodd-Frank Whistleblower Program.
Continue Reading Whistleblower Tips Continue to Rise in 2014
In what is sure to add more “fuel to the fire,” it was recently reported that the SEC has won every case brought in its administrative courts over the last
Continue Reading Is the SEC that good? SEC Wins Every Administrative Case
Although it has been many years since Yogi Berra uttered this famous line, it seems like he must have been thinking about the debate regarding the adoption of a uniform
Continue Reading The Uniform Fiduciary Duty Standard – It Seems Like Déjà vu All Over Again