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Posts from the ‘Dodd-Frank Guidance’ Category

0February 17, 2012CFTC Memo to Investment Companies – You’re Commodity Pool Operators, Too

0February 14, 2012Paul Volcker: In His Own Words

0February 9, 2012Swiping at Swaps

0February 5, 2012The Dodd-Frank Act’s Prohibition against Conflicts of Interests in Securitizations: The Authors Respond

0January 30, 2012The Dodd-Frank Act and Public Retribution

0January 25, 2012How Then Shall We Live: The CFTC’s Business Conduct Standards for Swap Dealers and Major Swap Participants.

0January 3, 2012The SEC’s New Mine Safety Disclosure Rules

0December 22, 2011What Exactly Is an “Accredited Investor”? New SEC Final Rule Amends Definition

0December 13, 2011MF Global’s Tone at the Top: Throw the Underlings under the Bus

0December 8, 2011Private Fund Risk Reporting

0November 17, 2011Naming Calls: MF Global’s Comments on the CFTC’s Proposed Amendments to Rule 1.25

0November 10, 2011First OSHA Final Rule Under Dodd-Frank Amends SOX Whistleblower Provisions

0November 4, 2011If a $40 Billion Firm Collapses, Has Anything Changed? A Zen Koan for the Dodd-Frank Age

0October 28, 2011Regulation by Delegation: The SEC’s Proposed Swap Dealer Registration Process

0October 21, 2011Of Blood Cell Phones and the SEC: The Dodd-Frank Act’s Conflict Minerals Provision

0October 13, 2011The Ghost of Glass-Steagall – A Halloween Horror Story

0October 7, 2011A Material Sticking Point: What Constitutes Materiality in the SEC’s ABS Conflicts of Interest Proposal

0August 26, 2011Congress Punts and the MSRB Takes a Knee

0August 18, 2011Suspending an Asset-Backed Securities Issuers’ Duty to File Ongoing Securities Exchange Act Reports

0August 12, 2011Clearing Member Risk Management

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