SEC Implements Dodd-Frank Reporting and Dissemination Rules for Security-Based Swaps Posted by Kobi Kastiel, Co-editor, HLS Forum on Corporate Governance and Financial Regulation, on Sunday, April 19, 2015 [The following post comes to us from Arthur S. Long, partner in the Financial Institutions and Securities Regulation practice groups at Gibson, Dunn & Crutcher LLP, and… Continue Reading
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Search Results for: Dodd-Frank
Demystifying Dodd-Frank: 12 Ways it Reforms the Financial System
Lauren Oppenheimer and Jim Kessler – Third Way: “Four years after its passage, Dodd-Frank remains one of the most important yet least understood laws passed in recent decades. It was designed to reduce the frequency and severity of future financial crises. It sought to overhaul the regulatory structure of Wall Street and the banking industry—from the issuing… Continue Reading
Conflict Minerals and Resource Extraction: Dodd-Frank, SEC Regulations, and Legal Challenges
Conflict Minerals and Resource Extraction: Dodd-Frank, SEC Regulations, and Legal Challenges. Michael V. Seitzinger, Legislative Attorney; Kathleen Ann Ruane, Legislative Attorney. October 15, 2014. “Two sections of the Dodd-Frank Wall Street Reform and Protection Act (Dodd-Frank) require that the Securities and Exchange Commission (SEC or Commission) issue regulations to make public the involvement of U.S. companies in conflict minerals and in… Continue Reading
Democratic House Staff Report on Fourth Anniversary of Dodd-Frank Act
Follow up to Report: Dodd-Frank Act Does Not End Too Big to Fail But Perpetuates It as Official Policy – today, the Democrat’s interpretation of the same subject – The Fourth Anniversary of the Dodd-Frank Wall Street Reform and Protection Act of 2010, Democratic Staff Report Prepared for Democratic Members of the House Committee on Financial Services – The Honorable… Continue Reading
Report: Dodd-Frank Act Does Not End Too Big to Fail But Perpetuates It as Official Policy
“House Financial Services Committee Chairman Jeb Hensarling (R-TX) and Oversight and Investigations Subcommittee Chairman Patrick McHenry (R-NC) today released a committee staff report [prepared by the Republican Staff of the Committee on Financial Services] that concludes the Dodd-Frank Act did not end “too big to fail” as the law’s supporters claim, but actually had the… Continue Reading
Bipartisan Policy Center Recommends Improvements to Key Features of the Dodd-Frank Act
“The Bipartisan Policy Center’s (BPC) Financial Regulatory Reform Initiative today released three top ten lists highlighting key areas of progress made since the passage of the Dodd-Frank Act four years ago, along with 20 proposed action items for regulators and Congress to address the significant challenges that remain. These include: Top Ten Areas Where Dodd-Frank Made Progress Top Ten… Continue Reading
How Well Does Dodd-Frank Address Regulatory Gaps and Market Failures that Led to the Housing Bubble?
Holstein, Adora D., How Well Does Dodd-Frank Address Regulatory Gaps and Market Failures that Led to the Housing Bubble? (2013). Journal of Business and Behavioral Sciences, Vol. 25, No. 1, Spring 2013. Available at SSRN: http://ssrn.com/abstract=2415043 “This study maps key provisions of the Dodd-Frank Act of 2010 against gaps in regulation and market failures that… Continue Reading
Dodd-Frank Act Stress Test 2014 Revised Data
Follow up to Federal Reserve releases summary results of bank stress tests – see Dodd-Frank Act Stress Test 2014: Revised Projected Minimum Tier 1 Common Ratios. March 21, 2014. “The biggest change to the minimum Tier 1 common ratios was a 0.5 percentage point decline for American Express Co., followed by a 0.3 percentage point increase for both M&T Bank Corp., based… Continue Reading
Agencies Issue Final Dodd-Frank Act Stress Test Guidance for Medium-Sized Firms
“Three federal bank regulatory agencies are issuing final guidance describing supervisory expectations for stress tests conducted by financial companies with total consolidated assets between $10 billion and $50 billion. These medium-sized companies are required to conduct annual, company-run stress tests under rules issued by the agencies in October 2012 to implement a provision in the Dodd-Frank… Continue Reading
Foreign Banks: Overview of Dodd-Frank Enhanced Prudential Standards Final Rule
Foreign Banks: Overview of Dodd-Frank Enhanced Prudential Standards Final Rule, Davis Polk, February 24, 2014 “This visual summary provides an overview of key aspects of the Dodd-Frank enhanced prudential standards (EPS) final rule that applies to foreign banking organizations with ≥ $50 billion in total global consolidated assets (Large FBOs).” Continue Reading
Dodd-Frank Progress Report – January 2014
Dodd-Frank Progress Report Generated using the Davis Polk Regulatory Tracker™ January 2014 “In Brief: December 2013 36 Requirements Met, 1 Proposed. The CFTC, FDIC, Federal Reserve, OCC and SEC released final regulations implementing the Volcker Rule. The Federal Reserve released a proposed rule on extensions of credit by Federal Reserve Banks. 1 Study. The FIO issued a study… Continue Reading
New GAO Reports – Defense Management, Dodd-Frank Regulation, TARP Audit, Reverse Auctions
DEFENSE MANAGEMENT – Actions Needed to Ensure National Guard and Reserve Headquarters Are Sized to be Efficient, GAO-14-71, Nov 12, 2013 DODD-FRANK REGULATION – Agencies Conducted Regulatory Analyses and Coordinated but Could Benefit from Additional Guidance on Major Rules, GAO-14-67, Dec 11, 2013 FINANCIAL AUDIT – Office of Financial Stability (Troubled Asset Relief Program) Fiscal Years 2013 and 2012 Financial… Continue Reading
