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Posts from the ‘Dodd-Frank Guidance’ Category

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

0July 25, 2011D.C. Circuit Axes Proxy Access — and Issues A Timely Reminder

0July 21, 2011Dodd-Frank Turns One, Let’s See What’s Been Done

0July 15, 2011Auditors Take the Stage

0July 8, 2011Dodd-Frank Focus: The CFTC’s New 10b-5 Authority

0July 1, 2011Dodd-Frank Focus: Proposed Business Conduct Rules for Swap Dealers and Participants

0June 24, 2011Preventing Another Madoff: Proposed New Broker-Dealer Reporting Requirements

0June 10, 2011Dodd-Frank Focus: “Felons and other Bad Actors”

0May 27, 2011The Whistleblower Rules

0May 20, 2011Defining the Battle Lines: Who Will Be Subject To The Dodd-Frank Act’s Swaps Regulations?

0May 6, 2011Haircuts, Rating Equivalents, and the Net Capital Rule for Broker-Dealers

0April 29, 2011Clarifying the Swa(m)p: Margin Requirements for Uncleared Swaps

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