Net Worth Standard for Accredited Investors Under Dodd-Frank Act | SEC No. 2011-274, 17 CFR PARTS 230, 239, 270, and 275 , Release Nos. 33-9287; IA-3341; IC-29891; File No. S7-04-11, RIN 3235-AK |
12/21/2011
The Securities and Exchange Commission has amended its rules to exclude the value of a person’s home from net worth calculations used to determine whether an individual may invest in certain unregistered securities offerings. More...
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private E | SEC No. 2011-278, 17 CFR Part 255; Release No. 34-66057; File No. S7-41-11; RIN 3235-AL07 |
12/23/2011
Four federal agencies have extended until February 13, 2012, the comment period on a proposal to implement the so-called Volcker Rule of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
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SEC-FINRA Joint Guidance on Effective Policies and Procedures for Broker-Dealer Branch Inspections | SEC No. 2011-250, SEC-FINRA Regulatory Notice No. 11-54, FINRA Risk Alert Volume I, Issue 2 |
11/30/2011
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) and the Financial Industry Regulatory Authority (FINRA) have issued a Risk Alert and a Regulatory Notice on broker-dealer branch inspections, and offered suggestions to help securities industry firms better perform this key supervisory function. More...
NYSE Amex Notice and Order, NYSE Notice and Order, NASDAQ Notice and Order | SEC No. 2011-235, Release No. 34-65710; File No. SR-NYSEAmex-2011-55, Release No. 34-65709; File No. SR-NYSE-2011-38 |
11/9/2011
The Securities and Exchange Commission has approved new rules of the three major U.S. listing markets that toughen the standards that companies going public through a reverse merger must meet to become listed on those exchanges. More...
Retail Commodity Transactions Under Commodity Exchange Act Section 2(c)(2)(D) | CFTC No. PR6151-11, RIN 3038-AD64 |
12/2/2011
The U.S. Commodity Futures Trading Commission (CFTC) has issued an Interpretation that relates to anti-fraud authority provided in the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). More...
FDIC’s Investor Match Program | FDIC No. PR-148-201 |
9/7/2011
The Federal Deposit Insurance Corporation (FDIC) has launched a new program to encourage small investors and asset managers to partner with larger investors to participate in the FDIC's structured transaction sales for loans and other assets from failed banks. More...
Updated Market-Wide Circuit Breaker | SEC No. 2011-190; Release No. 34-65438; File No. SR-CBOE-2011-087 |
9/27/2011
The Securities and Exchange Commission has announced that the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) are filing proposals to revise existing market-wide circuit breakers that are designed to address extraordinary volatility across the securities markets. More...
Notice of Proposed Rulemaking on Prohibitions and Restrictions on Proprietary Trading and Certain Interests | SEC No. 2011-204 |
10/12/2011
The Securities and Exchange Commission has proposed a rule implementing the so-called "Volcker Rule" requirements. The requirements stem from Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. More...
Order Making Fiscal Year 2012 Annual Adjustments to Registration Fee Rates | SEC No. 2011-195, Release Nos. 33-9255; 34-65231 |
8/31/2011
As previously announced by the Securities and Exchange Commission, starting on Oct. 1, 2011, the fees that public companies and other issuers pay to register their securities with the Commission have been reduced to $114.60 per million dollars from their current rate of $116.10 per million dollars. More...
Resolution Plans Required for Insured Depository Institutions with $50 Billion or More in Total Assets | 12 CFR Part 360, RIN 3064-AD59 |
10/13/2011
The FDIC has approved an Interim Final Rule that would require an insured depository institution with $50 billion or more in total assets to submit periodic contingency plans to the FDIC for resolution in the event of the financial institution's failure. More...
