Dodd-Frank Act updates

The Dodd-Frank Act provides expansive authority for regulators to define the details critical to implementing sweeping financial regulatory reforms. As events develop, DLA Piper is monitoring the regulators' actions.

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3 Dec 2013
Dodd-Frank affects private companies too: practice points to note

20 Nov 2013
Courts confirm: Dodd-Frank whistleblowers must report to the SEC, Dodd-Frank whistleblower protections do not extend to conduct outside the US

13 Nov 2013
Second Circuit: in-house counsel may not seek to profit as whistleblowers against former employers

9 Sep 2013
United States v. Vilar: new limits on extraterritorial securities enforcement

29 Aug 2013
Six federal agencies revise proposed rule on risk retention, removing controversial provisions

19 Jul 2013
SEC lifts general solicitation ban, proposes changes to Reg D, approves “bad actor” rules

12 Jul 2013 
CFTC approves final cross-border guidance of the swap provisions of the Dodd-Frank Act

11 Jul 2013
European Commission and CFTC announce a path forward on cross-border regulation of OTC derivatives

3 Jul 2013
US District Court vacates SEC’s Resource Extraction Rule

17 Jun 2013
More coming soon? Latest SEC tipster award highlights risk for hedge funds, private equity firms

8 May 2013
Preparing for EMIR and Dodd-Frank: Our capabilities

7 May 2013
Growing whistleblower activity calls for close employer attention to retaliation issues

6 May 2013
With long-awaited trading rules, SEC positions itself as an extraterritorial regulator

2 May 2013
Fewer opportunities seen for foreign whistleblowers

4 Feb 2013
SEC approves listing rules affecting compensation committees and advisers

19 Sep 2012
Conflict mineral reporting rules impact many public companies: new supply chain requirements and new Form SD

8 Aug 2012
How are the US & EU reforming the rating agencies?

11 Jul 2012
The final countdown: Dodd-Frank compliance to begin as SEC and CFTC issue key rules re swaps activities

10 Jul 2012
CFTC issues two proposals affecting those engaging in swaps activities

2 Jul 2012
SEC final rule on independence, outside consultants: changes afoot for compensation committees

2 May 2012
Unintended consequences: the Volcker Rule and securitization

30 Apr 2012
CFTC approves commodity options final rule, establishing trade option exemption

19 Apr 2012
CFTC issues the first of the two rules that will shape the post-Dodd-Frank world

5 Apr 2012
FSOC approves final rule on systematically important nonbank financial firms

22 Mar 2012
Would registration with the SEC harm US private equity advisors' global competitiveness?

29 Feb 2012
Did Dodd-Frank hit or miss the securitization bull's eye?

8 Feb 2012
CFTC final rule adopts LSOC model for cleared swaps collateral

6 Feb 2012
UK: Foreign private advisers under Dodd-Frank

30 Nov 2011
SEC's whistleblower report reveals surprising volume of tips from foreign countries

3 Nov 2011
SEC, CFTC approve new Dodd-Frank rule requiring many hedge fund advisers to report detailed information

7 Sep 2011
With even tougher SEC scrutiny imminent, can a mock examination help you prevail?

1 Aug 2011
Private fund advisers may be exempt from registration under new Dodd-Frank requirements

25 Jul 2011
"Family offices" are exempt from investment adviser registration, SEC rules

6 Jul 2011
Advisers that only manage VC funds will be exempt from new Dodd-Frank registration requirements

2 Jun 2011
Responding to the SEC's final whistleblower bounty rules

4 Apr 2011
Federal agencies release rules for risk retention under Dodd-Frank

2 Feb 2011
Risks and consequences in the new whistleblower landscape

17 Dec 2010
Federal Reserve issues proposed rule on debit interchange fees and network restrictions

23 Nov 2010
SEC proposes definition of "venture capital fund" for exemption from Advisers Act

16 Nov 2010
Navigating Dodd-Frank: proactive steps to compensation disclosure

16 Nov 2010
Finding your way in the days of say-on-pay: tips for your 2011 proxy materials

9 Nov 2010
Will proposed SEC whistleblower rules prevent the undermining of corporate compliance programs?

26 Oct 2010
SEC proposes rules on shareholder approval of executive compensation, golden parachute payments

26 Oct 2010
New EU proposal for the regulation of the OTC derivatives market

23 Sep 2010
NYSE prohibits discretionary voting on executive compensation matters, NASDAQ to follow suit

9 Sep 2010
The extraterritorial reach of the new Dodd-Frank whistleblower law

7 Sep 2010
SEC adopts proxy access rules: prepare for changes to the director nomination process

25 Aug 2010
Sweeping financial services reforms include new insurance regulations

2 Aug 2010
Federal banking agencies adopt final rules implementing the SAFE A

31 Jul 2010
Implications to derivatives users of the Dodd-Frank Wall Street Reform and Consumer Protection Act

30 Jul 2010
A little clarity, but a lot more questions

30 Jul 2010
SEC approves “proxy plumbing” concept release

28 Jul 2010
SEC begins Dodd-Frank rulemaking with new open process

26 Jul 2010
Dodd-Frank Act aims to fundamentally change trading of OTC derivatives

21 Jul 2010
Financial reform legislation affects executive compensation and corporate governance

21 Jul 2010
Dodd-Frank Act: regulators to take center stage in wake of sweeping financial services legislation

18 Mar 2010
Senator Dodd introduces revised financial services reform bill