April 2013

Private SWAP Counterparty (“End User”) Requirements to Retain and Obtain A Legal Entity Identifier for Historical Interest Rate Swaps Under Dodd-Frank

The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) was signed into law on July 21, 2010. Title VII of Dodd-Frank, known as the “Wall Street Transparency and Accountability Act”, created a series of new regulatory measures …

February 2013

SEC Approves NASDAQ and NYSE Listing Standards on Compensation Committees and Advisers

The Securities and Exchange Commission ("SEC") has approved amendments to the NASDAQ Stock Market ("NASDAQ") and New York Stock Exchange ("NYSE") listing standards regarding the independence of compensation committees and the selection of their advisers. T…

January 2013

SEC Adopts New Obligations for Broker-Dealers and Paying Agents Regarding Lost Securityholders and Unresponsive Payees

The Securities and Exchange Commission (the "SEC") recently adopted amendments to Rule 17Ad-17 (the "Rule") under the Securities Exchange Act of 1934 to implement certain requirements of the Dodd-Frank Wall Street Reform and Protection Act. The amended Rul…