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Securities Compliance Sentinel

Analysis of cutting-edge securities industry issues

Dodd-Frank

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The SEC Reluctantly Vacates Collateral Bars After Court Loss

By Ernest Badway on March 16, 2017
Fines

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

Posted in Dodd-Frank, SEC Enforcement

Trump Sets Plan In Motion To Dismantle Dodd-Frank

By Fox Rothschild LLP on February 3, 2017

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

Posted in Broker-Dealer Regulation, Dodd-Frank, Investment Adviser Regulation

SEC Chair White Refuses To Delay New Rules

By Fox Rothschild LLP on December 13, 2016

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

Posted in Dodd-Frank, SEC Compliance, SEC Enforcement, SEC Organization, SEC Structure

Dodd What

By Joshua Horn on November 9, 2016

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

Posted in Dodd-Frank

Whistleblower Tips Rise Again in 2015

By Fox Rothschild LLP on November 18, 2015

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

Posted in Compliance and Supervision, Dodd-Frank, Financial Industry Trends, SEC Compliance, SEC Enforcement, Whistleblowers

CEO-Pay Ratio Rule Adopted by the SEC

By Fox Rothschild LLP on August 14, 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

Posted in Corporate Governance, Dodd-Frank, Financial Industry Trends, SEC Compliance, SEC Enforcement

A Look Ahead: SEC to Adopt CEO-Pay Ratio Rule?

By Fox Rothschild LLP on July 29, 2015

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?

Posted in Corporate Governance, Dodd-Frank, Financial Industry Trends, SEC Compliance

Whistleblower Tips Continue to Rise in 2014

By Fox Rothschild LLP on December 23, 2014

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

Posted in Compliance and Supervision, Dodd-Frank, Financial Industry Trends, FINRA Compliance, FINRA Enforcement, SEC Compliance, SEC Enforcement

Is the SEC that good? SEC Wins Every Administrative Case

By Ernest Badway on October 29, 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

Posted in Dodd-Frank, SEC Enforcement, Securities Litigation

The Uniform Fiduciary Duty Standard – It Seems Like Déjà vu All Over Again

By Joshua Horn on October 7, 2014

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

Posted in Breach of Fiduciary Duty, Broker-Dealer Regulation, Dodd-Frank, FINRA Compliance, FINRA Enforcement

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