Implementing the Dodd-Frank Wall Street Reform and Consumer …
网页Section 1504. Disclosure of payment by resource extraction issuers. The Commission’s rule implementing Section 1504 was invalidated on February 14, 2017, by a joint resolution of disapproval enacted pursuant to the Congressional Review Act. The Commission adopted a new rule on December 16, 2020.
Dodd-Frank Act Rulemaking: Whistleblower Program - SEC.gov
网页Whistleblower Program. Background: Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act provides that the Commission shall pay awards to eligible whistleblowers who voluntarily provides the SEC with original information that leads to a successful enforcement action yielding monetary sanctions of over $1 million. The ...
Dodd-Frank Act Rulemaking: Asset-Backed Securities - SEC.gov
网页2014年10月23日 · The Dodd-Frank Wall Street Reform and Consumer Protection Act imposes new requirements on the ABS process. Specifically: Section 621 prohibits an underwriter, placement agent, initial purchaser, sponsor, or any affiliate or subsidiary of any such entity, of an asset-backed security from engaging in any transaction that would …
Dodd-Frank Act Rulemaking: Specialized Corporate Disclosure
网页2013年5月30日 · Issuers are not required to provide their disclosures until their first annual report ending at least one year after the date on which the Commission issues its final rules. Implementation: On December 15, 2010, the Commission proposed rules to implement Sections 1502, 1503 and 1504 of the Dodd-Frank Act. The proposing releases can be …
Whistleblower Protections - SEC.gov
网页The Dodd-Frank Wall Street Reform and Consumer Protection Act expanded the protections for whistleblowers and broadened the prohibitions against retaliation. Following the passage of Dodd-Frank, the SEC implemented rules that enabled the SEC to take legal action against employers who have retaliated against whistleblowers.
Section 922 of the Dodd-Frank Act - SEC.gov
网页Section 922 of the Dodd-Frank Act. Section 922 of the Dodd-Frank Act. dodd-frank-sec-922.pdf (61.06 KB) Return to top. About the SEC. Budget & Performance. Careers. Commission Votes. Contact.
SEC.gov | Statutes and Regulations
网页The Dodd-Frank Wall Street Reform and Consumer Protection Act was signed into law on July 21, 2010 by President Barack Obama. The legislation set out to reshape the U.S. regulatory system in a number of areas including but not limited to consumer protection, trading restrictions, credit ratings, regulation of financial products, corporate ...
Dodd-Frank Act Rulemaking: Derivatives - SEC.gov
网页2015年5月4日 · The Dodd-Frank Act provides the SEC with access to information relating to security-based swap agreement in the possession of the CFTC and certain CFTC-regulated entities, such as derivatives clearing organizations, designated contract markets, and swap data repositories. Implementation: There are a number of rulemakings required under …
Dodd-Frank Act Rulemaking: Credit Rating Agencies - SEC.gov
网页2014年9月5日 · The Dodd-Frank Wall Street Reform and Consumer Protection Act enhances the SEC’s enforcement mechanisms, and adds a number of requirements on NRSROs that are immediately effective (i.e., do not depend on SEC rulemaking). The Dodd-Frank Act also requires the Commission to adopt a number of new rules concerning: …
Outline of Dodd-Frank Act and JOBS Act - SEC.gov
网页Under Dodd-Frank, the SEC can revisit the definition every four years and make changes. These limitations, for all practical purposes, limited the pool of investors in any particular company’s exempt offering. Now, under the JOBS Act, companies can conduct general solicitation and advertising for a Rule 506 offering.
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