Roadmaps and Summaries on the key provisions and regulatory rulemakings impacting broker-dealers can be found below for each relevant title:
News and Legal Alerts
Sutherland Forms Response Team to Help Clients Address Whistleblower Claims in 2012
December 21, 2011
Legal Alert: Blowing Your Own Whistle: Trumpeting Your Whistleblower Policies in Response to the SEC's New Whistleblower Program
July 28, 2011
Legal Alert: SEC Revamps Investment Adviser Regulatory Scheme as Mandated by the Dodd-Frank Act
July 22, 2011
Legal Alert: CFPB: Important Comment Period on Nonbank Regulation
June 28, 2011
Legal Alert: Broker-Dealer Annual Audits and Accounting Standards: SEC and PCAOB Developments
December 21, 2010
Brokers Can Take Practical Steps For Any Fiduciary Regime Change, Lawyer Says
October 2010 Reprinted with permission Daily Report for Executives
While You Were Complying: SEC and FINRA Disciplinary Actions Taken Against Chief Compliance Officers
October 2010 Reprinted with permission Practical Compliance & Risk Management for the Securities Industry
Broker-Dealers, Fiduciary Duties and Enhanced Conduct Standards Under the Financial Reform Act
October 2010 Reprinted with permission Practical Compliance & Risk Management for the Securities Industry
Legal Alert: New Whistleblower Protections for Financial Service Employees
October 1, 2010
No Easy Road - Developing a Fiduciary Standard for Broker-Dealers
July/August 2010 Reprinted with permission NSCP Currents
Legal Alert: Impact of Dodd-Frank Wall Street Reform and Consumer Protection Act on Broker-Dealers
August 16, 2010
Obama Signs H.R. 4173
July 21, 2010 Reprinted with permission National Underwriter Life & Health, www.lifeandhealthinsurancenews.com
Does a Statutory Fiduciary Duty Mean a More Substantive Fiduciary Duty? What the Future May Hold
August 2010 Reprinted with permission IAA Newsletter
Financial Reform 101: For Broker-Dealers
July 27, 2010 - Reprinted with permission Law360, www.law360.com
Past Events
Whistleblower Initiatives: Implementing the SEC's Bounty Program
June 22, 2011
To listen to the full webinar, please click on the link above. For the presentation slides, please click here.
Webinar - Whistleblower Initiatives: What You Need to Know
January 26, 2011
To listen to the full webinar, please click on the link above. For the presentation slides, please click here.
ALI-ABA - The Financial Services Regulatory Revolution: Navigating the New World of Broker-Dealer and Investment Adviser Regulation, Supervision and Sales
October 21-22, 2010
ALI-ABA - Dodd-Frank Financial Reform and its Impact on the Securities Industry
October 8, 2010
Contacts
| Eric A. Arnold |
202.383.0741 |
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| Clifford E. Kirsch |
212.389.5052 |
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| Michael B. Koffler |
212.389.5014 |
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| Susan S. Krawczyk |
202.383.0197 |
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| Holly H. Smith |
202.383.0245 |
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Other Resources
Legislative Benchmarks
November 19, 2009:
Regulatory Reform, markup, The Senate Banking Committee, on the Dodd bill entitled, "The Restoring American Financial Stability Act of 2009." For additional details, click here.
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Roadmaps
As various Title sections are updated, an asterisk(*) next to a Title will note changes in certain Key Provisions and Regulations in the Roadmap. Within each Roadmap Title, the section most recently updated is highlighted in yellow.
*Title I - Key Provisions and Regulatory Rulemakings
Title II - Key Provisions and Regulatory Rulemakings
Title IV - Key Provisions and Regulatory Rulemakings
*Title VI - Key Provisions and Regulatory Rulemakings
*Title IX - Key Provisions and Regulatory Rulemakings
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