Implementing the
Dodd-Frank Wall Street Reform and Consumer Protection Act
The following list references all the rules that the Commission has proposed or adopted in connection with the Dodd-Frank Act. That Act contains more than 90 provisions that require SEC rulemaking, and dozens of other provisions that give the SEC discretionary rulemaking authority. Of the mandatory rulemaking provisions, the SEC has proposed or adopted rules for more than three-quarters.
To date, the Commission has put in place a foundation for a framework that will support an entirely new regulatory regime designed to bring greater transparency and access to the securities-based swaps market, adopted rules that will result in increased oversight and transparency around hedge fund and other private fund advisers, gave investors a say-on-pay regarding executive compensation and established a whistleblower program which offers incentives for individuals with information regarding securities law violations to come forward. The SEC also has proposed a series of rules designed to improve the practices of credit rating agencies, including rules to limit the conflicts that may arise when NRSROs rely on client payments to drive profits and rules to monitor rating agency employees who move to new positions with rated entities.
When the Commission proposes or adopts a set of rules, often those rules are contained in a single document, called a 'proposing release' or an 'adopting release.' Because the list below primarily cites releases, rather than the rules themselves, the number of entries on the list does not equal the number of rules the Commission has proposed or adopted.
Most Recent Accomplishments
- Adopted revisions to rules regarding due diligence for the delivery of dividends, interest, and other valuable property to missing securities holders. (Jan. 16, 2013) [§929W]
- Provided to Congress a study on the rating process for structured finance products and the feasibility of an assignment system. (Dec. 18, 2012) [§939F]
- Adopted a rule establishing minimum standards for the operation, governance, and risk management practices of registered clearing agencies, including clearing agencies designated as systemically important. (Oct. 22, 2012) [§805]
- Proposed capital, margin, and segregation requirements for security-based swap dealers and major security-based swap market participants. (Oct. 18, 2012) [§§763 and 764]
See All Accomplishments to Date
Transparency
http://www.sec.gov/spotlight/dodd-frank.shtml
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