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

By Steve Quinlivan and Ethan Mark

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 posts, which now number more than 1,075 at

Public Companies and Securities

Verifying Accredited Investors in Public Rule 506 Offerings: SIFMA Guidance.

SEC Orders Exchanges and FINRA to Submit Tick Size Pilot Program

Congress and Industry Want Resource Extraction Rules

Finalized Report Indicates Armed Groups Cede Control of Conflict Minerals Mines in Congo

Tell the Comp Committee and Consultants the Auditors Will be Calling

Shareholder Lawsuit About Compensation Plan Derails Annual Meeting

Public Companies: Board Should Review End-User Swap Approvals Annually

Private Equity, Hedge Funds, Investment Advisers and Broker Dealers

Integrated Private Equity Firms Charged With Failure to Register and Pay-to-Play Violations

A Developing Trend: Heightened Scrutiny of Private Equity Fund Advisers


SEC: Don't Ignore the Habitually Wrong Whistleblower

Dodd-Frank Whistleblower Protections Do Not Apply to Banking Laws

Banking and Consumer Protection

Fed to Bank Directors: Pay Attention

OCC Issues Volcker Rule Interim Examination Procedures

Fed Proposes Concentration Limits for Financial Institution M&A

CFPB Launches Inquiry Into Mobile Financial Services

SEC Issues FAQs on Volker Rule


CFTC Proposes Rule to Exclude Municipal Utilities from $25 Million De Minimis Swap Dealer Threshold


SEC Commissioner Wants Dodd-Frank Wrapped Up


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