Law Blog Tag: Dodd-Frank Act

SEC Publishes Report on Access to Capital and Market Liquidity

December 12, 2017 in SEC

On August 8, 2017 the SEC Division of Economic and Risk Analysis (DERA) published a 315-page report describing trends in primary securities issuance and secondary market liquidity and assessing how those trends relate to impacts of the Dodd-Frank Act, including the Volcker Rule. The report examines the issuances of debt, equity and asset-backed securities and Read the full article…

The Acting SEC Chair Has Trimmed Enforcement’s Subpoena Power

In early February 2017, acting SEC Chair Michael Piwowar revoked the subpoena authority from approximately 20 senior SEC enforcement staff. The change leaves the Director of the Division of Enforcement as the sole person with the authority to approve a formal order of investigation and issue subpoenas. Historically, the staff did not have subpoena power; Read the full article…

House Passes More Securities Legislation

SEC Gives Insight On 2016 Initiatives

SEC Congressional Testimony- Part I

SEC Cracks Down On Confidentiality Agreements As Violating Whistleblower Rights And Protections

April 07, 2015 in Uncategorized

Say-On-Pay for Smaller Reporting Companies

An Overview of Exemptions for Hedge Fund Advisors: Exemptions for Advisors to Venture Capital Funds, Private Fund Advisors with Less Than $150 Million in Assets Under Management, and Foreign Private Advisors – Part IV

Will FINRA Rule Changes Related to Private Placement Further Deter Broker Dealers From Placing the Securities of Small Businesses?

An Overview of Exemptions for Hedge Fund Advisors: Exemptions for Advisors to Venture Capital Funds, Private Fund Advisers with Less Than $150 Million in Assets Under Management, and Foreign Private Advisers – Part III

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