News & Analysis as of October 6, 2024

Transparency

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The Dodd-Frank Wall Street Reform and Consumer Protection Act is a United States federal statute signed into law on July 21, 2010. The Act was passed in response to the Great Recession of the late 2000s and includes broad reforms related to many aspects of the financial and banking industry. Notable sections of the Act include stricter regulations of the derivatives market, as well as the Volcker Rule, which restricts the trading practices of FDIC-insured institutions. less -

Four Months Out: Private Fund Advisors Prepare for September Compliance Deadline Amidst Challenge in the Fifth Circuit

ArentFox Schiff on 5/17/2024

In September 2023, we covered the Rules (Rule) published by the US Securities and Exchange Commission (SEC), developed to promote transparency for investors by increasing visibility into compensation schemes, sales practices,...more

Understanding SEC Rule 18a-6: Navigating the New Landscape for SBSDs and MSBSPs

Hanzo on 10/9/2023

The Securities and Exchange Commission (SEC) is tasked with creating and enforcing regulations that safeguard investors, promote fair and transparent markets, and facilitate capital formation. Recently, the SEC revised Rule...more

New SEC Rules Enhance Regulation of Private Fund Advisers

Holland & Hart LLP on 9/15/2023

Recently, the Securities and Exchange Commission (the “SEC”) adopted much anticipated rules under the Investment Advisers Act of 1940 (the “Advisers Act”) aimed at (i) bolstering the regulation of private fund advisers and...more

SEC Adopts New Executive Compensation Clawback and Disclosure Rule

Sheppard Mullin Richter & Hampton LLP on 10/27/2022

The U.S. Securities and Exchange Commission (“SEC”) voted on Wednesday to adopt a new rule requiring companies listed on a national securities exchange to claw back incentive-based executive compensation that was erroneously...more

SEC Proposes Short Sale Disclosure Rules

Skadden, Arps, Slate, Meagher & Flom LLP on 3/21/2022

On February 25, 2022, the U.S. Securities and Exchange Commission (SEC) announced that it unanimously voted to approve proposed changes requiring certain institutional investment managers (managers) to report short...more

SEC Proposes New Rule Requiring Increased Disclosure of Short Sale Information

Patterson Belknap Webb & Tyler LLP on 3/17/2022

In 2010, Congress passed the Dodd-Frank Wall Street Reform and Consumer Protection Act, which required the SEC “to prescribe rules to make certain short sale data publicly available no less than monthly.”...more

SEC Proposes New Rules Aimed at Increasing Short Sale Transparency

Kramer Levin Naftalis & Frankel LLP on 3/7/2022

On Feb. 25, 2022, the Securities and Exchange Commission (SEC) proposed several new rules with the goal of increasing transparency around short selling. Rule 13f-2 would require institutional investment managers (Managers)...more

Something We Can All Agree On? SEC Unanimously Approves Proposed Short-Seller Disclosure Rules

Holland & Knight LLP on 3/4/2022

Section 929X of the Dodd-Frank Act requires the SEC to implement a regulatory framework around the public disclosure of short sale information. On Feb. 25, 2022, the SEC unanimously approved proposed rules aimed at satisfying...more

SEC Proposes New Rules to Encourage Private Fund Transparency and Address Certain Conflicts of Interest

Sullivan & Worcester on 3/1/2022

The U.S. Securities and Exchange Commission (the “SEC”) published on February 9, 2022 a release (the “Proposing Release”) in which it proposed new rules (collectively, the “Proposed Rules”) that would apply to investment...more

SEC Reopens Comment Period on Dodd-Frank Act Pay-Versus-Performance Rule

BakerHostetler on 2/4/2022

The SEC has reopened the comment period for the 2015 Proposal regarding the Dodd-Frank Act pay-versus-performance rule. In conjunction with the reopening, the SEC has proposed several additional disclosure requirements in an...more

Rate Expectations: SEC Charges Credit Ratings Agency For Undisclosed Adjustments to Ratings

Vinson & Elkins LLP on 2/25/2021

On February 16, 2021, the Securities and Exchange Commission (“SEC”) filed a civil complaint against Morningstar Credit Ratings LLC (“Morningstar”), a credit rating agency, alleging violations of the disclosure and internal...more

SEC Issues Controversial New Rule on Payment Transparency in the Natural Resource Sector

Foley Hoag LLP - Global Business and Human... on 12/18/2020

On December 16, 2020, the Securities and Exchange Commission issued a new regulation that revises and reinstitutes a previously-repealed SEC regulation to implement Section 1504 of the Dodd-Frank Act. The new rule is the...more

Skadden's 2020 Insights

Skadden, Arps, Slate, Meagher & Flom LLP on 1/30/2020

Despite political and economic uncertainties, markets and deal activity were resilient in 2019, and strong fundamentals remain in place heading into 2020. Companies continue to face a challenging litigation and enforcement...more

Top Ten International Anti-Corruption Developments for February 2018

Morrison & Foerster LLP on 3/21/2018

In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important international anti-corruption developments from the past month, with links to primary...more

Five on Friday – Five Recent Developments that We’ve Been Watching Closely

Foley Hoag LLP - Global Business and Human... on 1/27/2017

It’s Friday and time for another overview of developments in the field of business and human rights that we’ve been monitoring. This week’s post includes: expected efforts by the U.S. Congress to repeal the Securities...more

Five Propositions Concerning The SEC Whistleblower Program

Allen Matkins on 10/31/2016

Congress, not the Securities and Exchange Commission, established the whistleblower program six years ago as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act. As the program has awarded over $100 million...more

SEC Adopts Payment Disclosure Rules for Companies Engaged in Resource Extraction

BakerHostetler on 8/5/2016

The U.S. Securities and Exchange Commission (the “SEC”) has adopted new rules which require “resource extraction issuers” to disclose annually the type and amount of payments that they (or their subsidiaries or entities under...more

SEC Adopts Payment Disclosure Rules for Resource Extraction Issuers

K&L Gates LLP on 8/3/2016

On June 27, 2016, the U.S. Securities and Exchange Commission (“SEC”) adopted Rule 13q-1 under the Securities Exchange Act of 1934 (the “Exchange Act”) and amendments to Form SD (Specialized Disclosure Report) (See SEC...more

SEC Adopts Additional Rules Related to Security-Based Swap Transaction Reporting

Orrick - Finance 20/20 on 7/22/2016

On July 13, 2016, the Securities and Exchange Commission adopted rules focused on greater transparency in security-based swap transactions, relying on mandates in the Dodd-Frank Wall Street Reform and Consumer Protection Act....more

Securities and Exchange Commission Issues New Rule on Extractive Industry Transparency

Foley Hoag LLP - Global Business and Human... on 7/7/2016

On June 27, the Securities and Exchange Commission (“SEC”) issued a new rule requiring extractive sector companies (oil, gas, and mining) to disclose the payments that they make to governments for the commercial development...more

SEC Adopts Resource Extraction Rules

Stinson - Corporate & Securities Law Blog on 6/28/2016

Responding to a court order, the SEC adopted rules to require resource extraction issuers to disclose payments made to governments for the commercial development of oil, natural gas or minerals. The rules, mandated by the...more

Can There Be Too Much Disclosure?

Burr & Forman on 6/28/2016

In an effort to provide transparency, the Dodd-Frank Act has previously formed an Investor Advisory Committee to assist the SEC on various issues including regulatory priorities, the regulation of securities products, trading...more

SEC Extractive Industry Transparency Requirements Move Forward

Foley Hoag LLP - Global Business and Human... on 1/21/2016

On December 11, 2015, the Securities and Exchange Commission (“SEC”) issued a new proposed rule to implement a key provision of the Dodd-Frank Act that targets corruption and increases transparency requirements for payments...more

Securities and Exchange Commission Sets Schedule for Rulemaking on Revenue Transparency

Foley Hoag LLP - Global Business and Human... on 10/5/2015

On October 2, the Securities and Exchange Commission (“SEC”) filed a schedule with the U.S. District Court for the District of Massachusetts providing details as to when the agency will seek to issue a final rule on revenue...more

SEC Proposes to Amend Rules Governing Administrative Proceedings

McGuireWoods LLP on 9/28/2015

On September 24, 2015, the Securities and Exchange Commission (SEC) issued a press release announcing proposed amendments to its Rules of Practice governing administrative proceedings. The announcement comes at a critical...more

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Dodd-Frank Wall Street Reform and Consumer Protection Act › Securities and Exchange Commission (SEC) › Transparency

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