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Posted Date: Friday, July 21, 2017
Commodity Futures Trading Commission Acting Commissioner J. Christopher Giancarlo highlighted his agency’s plans for streamlining its processes and accounting for advancements in fintech while testifying before the Financial Services and General Government Appropriations Subcommittee. Read on to learn more. Read on »
Posted Date: Friday, November 18, 2016
With the coming of a new administration led by president-elect Donald Trump, whose transition team has said he plans to “dismantle” the Dodd-Frank Act, legislation put forth by Rep. Jeb Hensarling, H.R. 5983, also known as “the Financial Choice Act” (FCA), is front and center on the national stage.
FCA, which the House of Representatives passed in September, proposes to repeal or amend numerous portions of Dodd-Frank. The first of our two-part series addresses the Consumer Financial Protection Bureau and general regulatory reform.
Read on for more details. Read on »
Posted Date: Tuesday, February 25, 2014
The Securities and Exchange Commission (SEC) announced several key staff changes in the month of February. Most recently, the agency named Washington, D.C., compliance attorney Stephen Luparello as director of the Division of Trading and Markets, which regulates major securities market participants including broker-dealers, credit rating agencies, transfer agents and self-regulatory organizations (SRO). Read on »
Posted Date: Wednesday, January 08, 2014
The Federal Reserve and Securities and Exchange Commission (SEC) announced the impending departure of key staff members. Sandra Braunstein, director of the Fed’s Division of Consumer and Community Affairs, will retire on April 1 after nearly 27 years at the agency. SEC Enforcement Co-Director George Canellos also plans to leave his post.
Braunstein joined the Fed in 1987 and was named senior associate director of the Division of Consumer and Community Affairs in 2003. She has served as division director since April 2004. Read on »
Posted Date: Tuesday, October 15, 2013
New numbers tracking regulatory deficiencies among investment advisers indicate advisers successfully navigated a Dodd-Frank-mandated switch from federal to state oversight.
Title IV of the Dodd-Frank Act raised the threshold for Securities and Exchange Commission registration to $100 million by creating a new category of advisers called “mid-sized advisers.” About 2,100 mid-sized investment advisers with assets under management between $30 million and $100 million switched from federal to state oversight earlier this year, according to the North American Securities Administrators Association (NASAA). Read on »
Posted Date: Monday, June 24, 2013
The U.S. House Financial Services Committee approved four bills that proponents claim will reduce the regulatory burden on job creators. Three of the bills would modify the Dodd-Frank Act. One such bill would repeal a provision requiring public companies to submit a disclosure comparing employees’ compensation to the chief executive officer’s compensation. Read on »
Posted Date: Wednesday, March 06, 2013
The Securities Exchange Commission published its examination priorities for 2013, which cover a wide range of issues at financial institutions, including broker-dealers, clearing agencies, exchanges and self-regulatory organizations, investment companies, hedge funds and private equity funds and transfer agents. Read on to learn about the SEC’s Dodd-Frank Act-related examination plans. Read on »
Posted Date: Monday, February 18, 2013
A key U.S. House committee plans to scrutinize regulators’ efforts to implement the Dodd-Frank Act over the next two years. The House Financial Services Committee oversight plan for the 113th Congress indicated lawmakers will keep close watch on the new agencies created under the act, including the Consumer Financial Protection Bureau, the Financial Stability Oversight Council and the Federal Insurance Office. Read on to learn about the committee’s other areas of focus. Read on »
Posted Date: Tuesday, December 11, 2012
Securities and Exchange Commission Chairman Mary Schapiro isn’t the only key agency player stepping down as 2012 comes to a close. The commission recently announced three other leaders who helped implement Dodd-Frank’s requirements are leaving their posts. Read on for the details. Read on »
Posted Date: Wednesday, October 31, 2012
The Securities and Exchange Commission said hundreds of advisers to hedge funds and other private funds have registered with the agency in response to Dodd-Frank’s registration provisions. Read on to learn about the SEC’s effort to reach advisers who may be required to move to state oversight but have not yet done so. Read on »
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Host State Loan-to-Deposit Ratios 2016The Federal Reserve Board, Office of the Comptroller of the Currency and Federal Deposit Insurance Corp. have issued information on the host state loan-to-deposit ratios, which are used to determine compliance under Section 109 of the Riegle-Neal Interstate Banking and Branching Efficiency Act of 1994. Review the ratios in Dodd Frank Update’s Library. Fed, FDIC, OCC, Riegle-Neal |
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