Net Worth Standard for Accredited Investors Under Dodd-Frank Act | 17 CFR PARTS 230, 239, 270, and 275; File No. S7-04-11, RIN 3235-AK90 |
1/25/2011
The Securities and Exchange Commission has voted to propose amendments to its rules to conform the definition of "accredited investor" to the requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act. More...
SEC-CFTC Joint Rules and Interpretations Relating to the Oversight of Swaps and Security-based Swap Markets | No. _________ |
12/3/2010
The Securities and Exchange Commission (SEC, or Commission) has voted unanimously to propose joint rules with the Commodity Futures Trading Commission (CFTC) that would further define a series of terms related to the security-based swaps market, including “swap dealer,” “security-based swap dealer,” “major swap participant,” “major security-based swap participant” and “eligible contract participant.” More...
Rules on Security-Based Swap Reporting | No. 2010-230 |
11/19/2010
The Securities and Exchange Commission (“SEC,” or “Commission”) has voted unanimously to propose new rules entailing how security-based swap transactions should be reported and publicly disseminated. More...
Prohibition Against Fraud, Manipulation, and Deception in Connection with Security-Based Swaps | 17 CFR Part 240; Release No. 34-63236; File No. S7-32-10; RIN 3235- AK77 |
11/3/2010
The Securities and Exchange Commission has voted unanimously to propose a new rule to help prevent fraud, manipulation, and deception in connection with security-based swaps. More...
Proposed Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 | 17 CFR Parts 240 and 249; Release No. 34-63237; File No. S7-33-10; RIN 3235-AK78 |
11/3/2010
The Securities and Exchange Commission has voted unanimously to propose a whistleblower program to reward individuals who provide the agency with high-quality tips that lead to successful enforcement actions. More...
MSRB Disclosure, Suitability and Pricing Rules | Regulatory Notice 10-41 |
9/20/2010
The Financial Industry Regulatory Authority (FINRA), in coordination with the Municipal Securities Rulemaking Board (MSRB) has issued a Regulatory Notice reminding municipal securities dealers of their sales practice, due diligence and fair pricing obligations when selling municipal securities in the secondary market. More...
Mine Safety Disclosure | 17 CFR PARTS 229, 239 and 249; RELEASE NOS. 33-9164; 34-63548; File No. S7-41-10; RIN 3235-AK83 |
12/15/2010
The Securities and Exchange Commission has voted to propose rules outlining the way in which mining companies must disclose to investors certain information about mine safety and health standards. More...
SEC’S Definition of Family Offices Under Dodd-Frank Act | 17 CFR Part 275, Release No. IA-3098; File No. S7-25-10, RIN 3235-AK66 |
10/12/2010
The Securities and Exchange Commission (“SEC,” or “Commission”) has proposed a new rule, based on requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act, that would help those managing their own family's financial portfolios determine whether their "family offices" can continue to be excluded from the Investment Advisers Act of 1940. More...
Shareholder Approval of Executive Compensation (Say-On-Pay) and Golden Parachute Compensation | 17 CFR PARTS 229, 240 and 249, Release Nos. 33-9178; 34-63768; File No. S7-31-10, RIN 3235-AK68 |
1/25/2011
The Securities and Exchange Commission has adopted rules concerning shareholder approval of executive compensation and "golden parachute" compensation arrangements as required under the Dodd-Frank Wall Street Reform and Consumer Protection Act. More...
Rules to Improve Oversight of Investment Advisers | No. 2010-228 |
11/19/2010
The Securities and Exchange Commission (“SEC ,” or “Commission”) has voted to propose new rules to strengthen the SEC's oversight of investment advisers and fill key gaps in the regulatory landscape. More...
