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
- Adopted rules to adjust the threshold used to determine who is a "qualified client" of a registered investment adviser. (Feb. 15, 2012) [§418]
- Delivered to Congress jointly with CFTC a report on how swaps are regulated in the United States, Asia, and Europe to identify areas of regulation that are similar and other areas of regulation that could be harmonized. (Feb. 1, 2012) [§719(c)]
- Adopted rules to revise the “accredited investor” standard: The Commission amended its rules to exclude the value of a person’s home from net worth calculations used to determine whether an individual may invest in certain unregistered securities offerings. (Dec. 21, 2011) [§413]
- Adopted rules regarding disclosure of mine safety information: The rules require mining companies to include information about mine safety and health in the quarterly and annual reports they file with the SEC. (Dec. 21, 2011) [§1503]
See All Accomplishments to Date
Upcoming Activity
Dates to be Determined
Transparency
http://www.sec.gov/spotlight/dodd-frank.shtml
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