Dodd-Frank Whistleblower Working Group SECURITIES

Publications & News


July 11, 2012

Commodity Futures Trading Commission Proposes Guidance on Cross-Border Application of Certain Swaps Provisions

July 5, 2012

SEC Takes Next Step to Implement Dodd-Frank Act's Compensation Committee

May 15, 2012

CFTC Proposes Order Further Extending Implementation of Certain Provisions of the Swap Regulatory Regime

May 7, 2012

Preparing for the Deluge: How to Respond When Employees Speak Up and Report Possible Compliance Violations

An article by William McLucas, Laura Wertheimer and Arian June, published in Bloomberg BNA Securities Regulation & Law Report, Vol. 44, No. 922.

May 4, 2012

The SEC and CFTC Issue Joint Rules Further Defining Swap Dealers and Major Swap Participants

May 3, 2012

CFTC’s Rulemaking on the Segregation of Cleared Swaps Customer Collateral: LSOC and Beyond

An article co-written by Paul M. Architzel, published in Futures & Derivatives 2012: Distinguishing Markets & Understanding Converging Regulatory Regimes, the 2012 New York Bar Conference publication.

August 22, 2011

CFTC and SEC Whistleblower Bounties: Largely Similar But Important Differences Remain

August 4, 2011

SEC Whistleblower Bounties: 10 Things Companies Can Do Right Now To Stay Ahead

July 18, 2011

Commodity Futures Trading Commission Clarifies Which Provisions of the Dodd-Frank Act are Now Effective; Delays Effective Date of Others

July 12, 2011

SEC Adopts Definition of "Venture Capital Fund" and Other Rules to Implement Provisions of the Dodd-Frank Act Related to Investment Advisers