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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Kyle Brasseur2023-10-16T14:14:00
The Securities and Exchange Commission (SEC) continued its push to get across the finish line the remaining provisions of the Dodd-Frank Act with the adoption of a new rule for institutional investment managers to provide greater transparency regarding short sale data.
The final rule, announced Friday, is designed to increase the public availability of short sale-related data. The reporting requirements will be included in Form SHO filings.
Completing implementation of Dodd-Frank was one of the stated goals of SEC Chair Gary Gensler upon the start of his tenure. The agency has chipped away at the remaining provisions of the 2010 law over the last two years, including rules passed this summer to prohibit the manipulation of chief compliance officers at security-based swaps. Proposals on other areas of the law, including conflicts in securities trading, remain pending.
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News and analysis for the well-informed compliance or audit exec. Select an option and click continue.
Annual Membership $499 Value offer
Full price one year membership with auto-renewal.
Membership $599
One-year only, no auto-renewal.
2023-11-28T14:25:00Z By Kyle Brasseur
The Securities and Exchange Commission moved quickly to adopt an unfulfilled mandate of the Dodd-Frank Act to prevent the sale of certain securities if there is a conflict of interest.
2023-11-16T19:54:00Z By Kyle Brasseur
The Securities and Exchange Commission continued its recent run of pushing through remaining regulations under the Dodd-Frank Act of 2010 by adopting new rules to mitigate conflicts of interest for security-based swap clearing agencies.
2023-11-06T12:28:00Z By Aaron Nicodemus
The Securities and Exchange Commission approved new regulations for security-based swap execution facilities, part of the agency’s steady progress in implementing languishing rules from the Dodd-Frank Act.
2024-11-25T19:18:00Z By Aaron Nicodemus
The Department of Justice has added antitrust compliance guidance in an update to its Evaluation of Corporate Compliance Programs.
2024-11-25T18:30:00Z By Aaron Nicodemus
Change is likely coming to the Securities and Exchange Commission’s enforcement priorities with the pending handover of the White House to Republican President-elect Donald Trump. Adjust your compliance priorities accordingly.
2024-11-22T14:17:00Z By Adrianne Appel
Dr. Mehmet Oz, President-elect Donald Trump’s pick to lead the Centers for Medicare and Medicaid Services, has a mandate from Trump to “take on the illness industrial complex” and to cut costs.
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