In this publication, Partner Matthew Kulkin and Senior Associate Twane Harris analyze the US Securities and Exchange Commission's (SEC) progress with respect to the implementation of Title VII of the Dodd-Frank Act. Kulkin and Harris discuss rules that have been implemented by the SEC as well as proposals that are pending adoption and staff action by the Division of Trading and Markets. The authors also highlight relevant cases brought by the SEC’s Division of Enforcement.
The Securities and Exchange Commission’s Implementation of Title VII of the Dodd-Frank Act: Reviewing the Status of Security-based Swap Market Regulation
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