Implementing the
Dodd-Frank Wall Street Reform and Consumer Protection Act
“This landmark legislation set out to reshape the U.S. regulatory landscape, reduce systemic risk and help restore confidence in the financial system. . . . [W]e are continuing to work diligently to implement all of the provisions of the Act for which we have responsibility — even as we continue to perform our longstanding core responsibilities. Indeed, we are well on our way to completing the rulemakings and studies assigned to us under the Act.”
— SEC Chairman Mary L. Schapiro,
July 21, 2011
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 about three-quarters of them.
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 to each release, the number of entries will not add up to the number of rules the Commission has proposed or adopted.
Most Recent Accomplishments
- Approved Municipal Securities Rulemaking Board Rule Change Regarding Standards of Conduct by Municipal Underwriters. (May 4, 2012) [§975]
- Adopted rules, jointly with the CFTC, defining key terms used in the Act with respect to swap-market intermediaries. (April 18, 2012) [§712]
- Submitted a report to Congress on the activities of the Office of Minority and Women Inclusion. (April 10, 2012) [§342]
- Delivered to Congress the Commission's Study on the Cross-Border Scope of the Private Right of Action Under Section 10(b) of the Securities Exchange Act of 1934. (April 11, 2012) [§929Y] See also: Statement by Commissioner Luis A. Aguilar; the data that the Division of Risk, Strategy, and Financial Innovation used in conducting the economic analysis is available here
- Established new Investor Advisory Committee (April 9, 2012) [§911]
- Issued second report to Congress describing actions to implement an independent consultant's recommendations. The consultant had been hired to make recommendations on the SEC's organization and operations. (March 30, 2012) [§967]
See All Accomplishments to Date
Upcoming Activity
Dates to be Determined
Transparency
http://www.sec.gov/spotlight/dodd-frank.shtml
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