- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Kyle Brasseur2023-10-16T14:14:00
The Securities and Exchange Commission (SEC) continued its push to get across the finish line the remaining provisions of the Dodd-Frank Act with the adoption of a new rule for institutional investment managers to provide greater transparency regarding short sale data.
The final rule, announced Friday, is designed to increase the public availability of short sale-related data. The reporting requirements will be included in Form SHO filings.
Completing implementation of Dodd-Frank was one of the stated goals of SEC Chair Gary Gensler upon the start of his tenure. The agency has chipped away at the remaining provisions of the 2010 law over the last two years, including rules passed this summer to prohibit the manipulation of chief compliance officers at security-based swaps. Proposals on other areas of the law, including conflicts in securities trading, remain pending.
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2023-11-28T14:25:00Z By Kyle Brasseur
The Securities and Exchange Commission moved quickly to adopt an unfulfilled mandate of the Dodd-Frank Act to prevent the sale of certain securities if there is a conflict of interest.
2023-11-16T19:54:00Z By Kyle Brasseur
The Securities and Exchange Commission continued its recent run of pushing through remaining regulations under the Dodd-Frank Act of 2010 by adopting new rules to mitigate conflicts of interest for security-based swap clearing agencies.
2023-11-06T12:28:00Z By Aaron Nicodemus
The Securities and Exchange Commission approved new regulations for security-based swap execution facilities, part of the agency’s steady progress in implementing languishing rules from the Dodd-Frank Act.
2025-04-24T18:07:00Z By Aaron Nicodemus
The Consumer Financial Protection Bureau (CFPB) has quickly become one of the most active agencies advancing the Trump administration’s pullback on prosecuting corporations, as it dropped yet another consumer protection lawsuit against a financial services company Wednesday.
2025-04-21T12:00:00Z By Neil Hodge
The United Kingdom’s latest effort to encourage regulators to pare down rules to attract companies and investment as a way to stimulate the economy has received mixed reviews from lawyers.
2025-04-18T14:01:00Z By Aaron Nicodemus
A federal judge has ruled that Google “willfully engaged in a series of anticompetitive acts” in the advertising technology industry, the latest antitrust setback in what could become a string of losses for tech companies.
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