Dodd-Frank and the JOBS Act: February Wrap-Up

By Steve Quinlivan and Bob Fallon

For both Dodd-Frank and the JOBS Act, we continue to comb through legislation, SEC filings, rules, statements by public officials and congressional testimony to determine what's most important to you. Get up to speed on these two wide-ranging, high-impact legislative acts by reading some of our 995 posts at

Public Companies and Securities

IPOs, Tweets and FWPs

SEC Chair Mary Jo White Says Disclosure Reform Is Next for Corporation Finance

Conflict Minerals and BOMcheck

FINRA Proposes More Changes to Corporate Financing Rule

Group Publishes Shareholder Engagement Protocol

UN Report Indicates Continued Smuggling of Conflict Minerals in DRC Region


SEC Commissioner Says JOBS Act Merits Increased Scrutiny of Transfer Agents

Municipal Advisers

MSRB to Implement Registration Process for Municipal Securities Dealers and Municipal Advisors

Conducting Your Business to Avoid Municipal Advisor Registration: Energy Services and Solar Energy Companies

Private Equity, Hedge Funds, Investment Advisers and Broker-Dealers

SEC Private Equity Enforcement: Expenses, Distributions, Marketing and Custody

Never-Before Examined Registered Investment Advisers Targeted by SEC

MN Regulation of Investment Adviser Representatives

Guidance for Hedge Funds and Private Equity: Who Is a Knowledgeable Employee?

No Action Letter Allows M&A Brokers to Receive Transaction-Based Compensation


Make CFTC Large Trader Report Available to FERC by the End of February, Eight Democratic Senators Tell CFTC Chairman

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