Dodd–Frank Wall Street Reform and Consumer Protection Act

Considering the Intent of Financial Regulations
Risk & Compliance

Considering the Intent of Financial Regulations

Regulations protect the safety of the banking system, ensure adherence with consumer compliance law, and eliminate illicit activity.
By Jose Marina | October 19, 2016
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Community Banks Still Struggling with Compliance Costs
Risk & Compliance

Community Banks Still Struggling with Compliance Costs

While Bank of America might be able to absorb additional compliance costs, the additional rounds of paperwork and auditing could crush a community bank.
By Ash Patel | October 19, 2016
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Municipal Adviser Charged With Bidding Fraud
Corporate Finance

Municipal Adviser Charged With Bidding Fraud

The case is the SEC’s first enforcement action under the municipal adviser anti-fraud provisions of the Dodd-Frank Act.
By Matthew Heller | June 14, 2016
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FDIC Adopts Final Rule on Collateral for Swaps
Risk

FDIC Adopts Final Rule on Collateral for Swaps

"Establishing margin requirements for non-cleared swaps is one of the most important reforms of the Dodd-Frank Act," said the FDIC chair.
By Matthew Heller | October 22, 2015
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SEC Strips Out Credit Ratings for Money Funds
Risk Management

SEC Strips Out Credit Ratings for Money Funds

A low credit rating on a short-term security will no longer prohibit a money market fund from investing in it.
By Katie Kuehner-Hebert | September 17, 2015
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Court Extends Corporate Whistleblower Protections
Risk & Compliance

Court Extends Corporate Whistleblower Protections

An appellate panel decides in favor of a former finance chief who alleged he was fired for reporting accounting fraud.
By Matthew Heller | September 11, 2015
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Senate Democrats Press SEC on Political Spending Disclosures
The Economy

Senate Democrats Press SEC on Political Spending Disclosures

Companies should be required to disclose how they use corporate resources for political activities, say the lawmakers.
By Katie Kuehner-Hebert | September 1, 2015
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Bankruptcy Bill Would Replace Bank Bailouts
Risk & Compliance

Bankruptcy Bill Would Replace Bank Bailouts

The Taxpayer Protection and Responsible Resolution Act creates a Chapter 14 for banks and replaces Dodd-Frank's orderly liquidation authority.
By Katie Kuehner-Hebert | July 23, 2015
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Dodd-Frank’s Next Act: Executive Pay
Regulation

Dodd-Frank’s Next Act: Executive Pay

The SEC’s proposed disclosure rules have drawn criticism from proponents and opponents alike.
By Ed Zwirn | July 15, 2015
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Banks and ‘Speed Traders’ Among Culprits Last October 15
Risk

Banks and ‘Speed Traders’ Among Culprits Last October 15

However, financial regulators failed to find a single, root cause for the unusually volatile day on the U.S. Treasury market last year.
By Katie Kuehner-Hebert | July 14, 2015
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Big Banks Detail Latest ‘Living Will’ Plans
Risk & Compliance

Big Banks Detail Latest ‘Living Will’ Plans

On the fourth try, U.S. systemically important financial institutions aimed to be more realistic about how they would approach a bankruptcy.
By Matthew Heller | July 7, 2015
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Online Exchange Fined for Illegal Swap Sales
Fraud

Online Exchange Fined for Illegal Swap Sales

Two entrepreneurs ran an unregistered securities exchange that sold derivatives linked to the liquidity events and value of private companies.
By Matthew Heller | June 17, 2015
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Sen. Elizabeth Warren Blasts SEC Chair’s Tenure
Risk & Compliance

Sen. Elizabeth Warren Blasts SEC Chair’s Tenure

In a letter, Warren tells Mary Jo White that her stint as chair of the SEC has been 'extremely disappointing.'
By Katie Kuehner-Hebert | June 2, 2015
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Mixed Signals
IPOs

Mixed Signals

Across industry sectors, CFO optimism is tempered by an uncertain business environment.
By David W. Owens | May 15, 2015
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Hillary Clinton to Tap Former Wall Street Regulator as CFO
Risk & Compliance

Hillary Clinton to Tap Former Wall Street Regulator as CFO

The regulator, former CFTC Commissioner Gary Gensler, was a key player in the fight to impose tougher rules on Wall Street.
By Katie Kuehner-Hebert | April 17, 2015
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