SEC Whistleblower Rules Take Effect; Agency Lists Cases for Possible Claims

The Securities and Exchange Commission’s whistleblower program formally became effective Aug. 12, starting with a launch by the commission of a new webpage with detailed instructions on how would-be informants can submit claims for awards…

SEC Adopts Large Trader Reporting Rule, Short-Form Criteria; Reproposes ABS Rules

The Securities and Exchange Commission July 26 unanimously agreed to establish a reporting regime that will allow the agency better to monitor and track the market activity of large traders…

Court Vacates SEC’s Proxy Access Rule on Basis of Inadequate Economic Analysis

In yet another blow to the Securities and Exchange Commission’s rulemaking efforts, the U.S. Court of Appeals for the District of Columbia Circuit July 22 struck down the agency’s proxy access rule, saying it acted arbitrarily by failing adequately to assess the regulation’s economic impact…

BNA INSIGHTS: Due Process, Transparency and the Consumer Financial Protection Bureau

On July 21, 2010, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act and thereby created the Consumer Financial Protection Bureau…

New Consumer Financial Protection Bureau to Begin Exams of More Than 100 Large Banks July 21, 2011

The Consumer Financial Protection Bureau will examine 111 large banks with assets of more than $10 billion when it begins operations on July 21, the Treasury Department said in a July 12 statement outlining the new agency’s supervision plans…

CFTC Finalizes Swaps Antifraud Rule, Rules on Larger Trader Reporting, Privacy

Marking the first time it has finalized rules under the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Commodity Futures Trading Commission July 7 adopted antifraud/anti-manipulation rules for swaps transactions, along with four other regulations…

SEC Proposes New Rules to Establish Business Conduct Standards for Swap Deals

The Securities and Exchange Commission June 29 unanimously agreed to propose new rules to establish business conduct standards for security-based swap dealers and major SBS participants that enter into swap transactions with counterparties…

Federal Reserve Raises Cap on Debit Card Swipe Fees, Provides Banks with More Time to Comply

A divided Federal Reserve Board June 29 cleared a final rule that caps so-called swipe fees on debit card transactions much higher than the 12-cent limit that the Fed proposed in December…

Divided SEC Adopts Hedge Fund, Private Fund Adviser Registration Rules

A sharply divided Securities and Exchange Commission June 22 voted 3-2 to adopt new rules and amendments to register hedge fund and private fund advisers, and to impose reporting requirements for funds exempt from registration…

Bank Regulators Finalize Dodd-Frank Regulation Barring Lower Capital Baseline For Big Banks

The Federal Deposit Insurance Corporation’s board of directors June 14 unanimously cleared a final rule that bars large banking firms from setting their risk-based capital requirements below those of community banks and other insured depository institutions…

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