Section Newsletters

Articles on Dodd-Frank Act

Dodd-Frank provides incentives and enhanced protections for individuals to blow its new, shiny “whistle,” but Sarbanes-Oxley’s old whistleblower protections may have more luster in certain situations By Michael R. Karnuth Business and Securities Law, September 2014 Provided here is an explanation of (I) the DFA’s award and protection provisions, and how those provisions differ from SOX’s whistleblower provisions for considering which provisions to select and utilize; and (II) the procedures for submitting eligible information and seeking an award from the SEC under the DFA.
Proposed “Bad Actor” exclusion to Rule 506 offerings By Barry L. Fischer Business and Securities Law, July 2011 On May 27, 2011, the Securities and Exchange Commission released a proposed rule which would disqualify an entity from using the Rule 506 private offering safe-harbor if the entity or a “covered person” associated with the entity is or was involved in specified violations of securities laws, securities administrators or other regulatory entities.
Insurance provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act By Mark D. DeBofsky Insurance Law, May 2011 There are two primary initiatives in Title V of the Act: the establishment of the Federal Insurance Office within the Treasury Department and the streamlining of regulation by the states so as to give primacy to the regulation by the home state of nonadmitted insurers, surplus lines insurers, and reinsurers in many situations.
Major reform to rules governing the broker-investor relationship is on the way By Laurence M. Landsman Business and Securities Law, January 2011 Brokers will soon be held to higher standards of care toward their clients, and investors will have access to greater protections where brokers have breached their standards of care.
The impact of the Dodd-Frank Act on private placements and investment advisers By Zane M. Cohn Business and Securities Law, December 2010 A discussion of the effects of the Dodd-Frank Wall Street Reform and Consumer Protection Act upon private placements of securities and investment advisers.

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