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Searching Content indexed under Dodd-Frank, Consumer Protection Act by Joshua Newville ordered by Published Date Descending.
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Outgoing SEC Chair Reflects On The Agency's Enforcement Program And Advocates For Increased Authority
On November 18, 2016, outgoing SEC Chair Mary Jo White delivered a speech at New York University School of Law entitled "A New Model for SEC Enforcement: Producing Bold and Unrelenting Results."
United States
2 Dec 2016
2
SEC Shake-Up: President-Elect Trump Expected To Make Key Appointments
In the wake of the election of Donald Trump as the 45th President of the United States, Mary Jo White has announced her intent to step down from her role as Chair of the Securities and Exchange Commission.
United States
16 Nov 2016
3
Whistleblower Alert – OCIE To Examine Registered Investment Advisers For Overbroad Confidentiality Or Severance Agreements
The SEC's OCIE recently published a risk alert noting that the SEC exam staff intends to examine registrants' compliance with the Dodd-Frank Act's whistleblower provisions.
United States
4 Nov 2016
4
OCIE Staff To Examine Registered Advisers' Policies And Agreements For Whistleblower Rule Compliance
On October 24, 2016, OCIE published a risk alert noting that the SEC exam staff intends to examine registrants' compliance with the Dodd-Frank Act's whistleblower provisions.
United States
2 Nov 2016
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