Well, autumn is here and everyone is back to work, including all your regulators in Washington. That means all those rules promised in the Dodd-Frank Act passed this summer will now start appearing, and compliance departments should plan accordingly.
One of the most notable new rules has already arrived: shareholder access to the proxy statement, adopted by the Securities and Exchange Commission on Aug. 25. Later this week the SEC and the Commodity Futures Trading Commission will hold two public hearings about possible derivatives regulation, also part of the Dodd-Frank mandate. Expect many more hearings, proposals, comment periods and final pronouncements in months to come.
