New Disclosure Requirements Under The Dodd Frank Act PDF Download
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| Author | : Celia Taylor |
| Publisher | : |
| Total Pages | : 0 |
| Release | : 2012 |
| Genre | : |
| ISBN | : |
Download New Disclosure Requirements Under the Dodd-Frank Act Book in PDF, ePub and Kindle
This article considers two little known provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act with potential to have great impact on mulitnational and other businesses listed on US national stock exchanges. Specifically, the article discusses the 'conflicts minerals' provision requiring disclosure by companies of the use of certain minerals sourced from the Democratic Republic of Congo and the provision requiring disclosure of payments made to foreign governments by resource extractors. It describes the requirements of each provision, examines the costs and benefits of each. It also discusses the disclosure philosophy underlying the US securities laws and locates these provisions within that philosophy.
| Author | : The Law Library |
| Publisher | : Independently Published |
| Total Pages | : 64 |
| Release | : 2019-01-27 |
| Genre | : Law |
| ISBN | : 9781795287685 |
Download Disclosure of Asset-Backed Securities Required by Dodd-Frank ACT (Us Securities and Exchange Commission Regulation) (Sec) (2018 Edition) Book in PDF, ePub and Kindle
The Law Library presents the complete text of the Disclosure of Asset-Backed Securities Required by Dodd-Frank Act (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 Pursuant to Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, (1) we are adopting new rules related to representations and warranties in asset-backed securities offerings. The final rules require securitizers of asset-backed securities to disclose fulfilled and unfulfilled repurchase requests. Our rules also require nationally recognized statistical rating organizations to include information regarding the representations, warranties and enforcement mechanisms available to investors in an asset-backed securities offering in any report accompanying a credit rating issued in connection with such offering, including a preliminary credit rating. This ebook contains: - The complete text of the Disclosure of Asset-Backed Securities Required by Dodd-Frank Act (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
| Author | : James Robert Brown |
| Publisher | : Wolters Kluwer |
| Total Pages | : 1709 |
| Release | : 1999-01-01 |
| Genre | : Law |
| ISBN | : 0735501564 |
Download The Regulation of Corporate Disclosure Book in PDF, ePub and Kindle
The Regulation of Corporate Disclosure, Third Edition is a complete and up-to-date handbook on the issue of corporate disclosure, covering the impact of the federal securities laws on both informal communications and the process of communicating with shareholders. The Third Edition expands topics previously covered, addressing the legal issues and practical concerns surrounding implementation of the Private Securities Litigation Reform Act of 1995, the Sarbanes-Oxley Act of 2002, and the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. The book also has an in-depth treatment of managementand’s discussion and analysis (MDand&A), something that, although appearing in required SEC filings, involves many of the same difficult and complex issues raised by the informal disclosure process. Also addressed are: SEC reforms of the periodic reporting process; issues pertaining to stock research analysts and conflicts of interest; and various relevant corporate governance requirements and their disclosure implications. Critical areas analyzed include ;Disclosure requirements and anti-fraud provisions The duty to disclose Dissemination Issues involving materiality Disclosure of bad news Negotiations Dealing with analysts And much more!
| Author | : Wulf A. Kaal |
| Publisher | : |
| Total Pages | : 47 |
| Release | : 2016 |
| Genre | : |
| ISBN | : |
Download Private Fund Disclosures Under the Dodd-Frank Act Book in PDF, ePub and Kindle
Title IV of the Dodd-Frank Act requires the Securities and Exchange Commission (SEC) to collect sensitive proprietary information from private fund advisers. Prior studies suggest that the SEC's mandated collection of private fund data in Form PF created several core challenges for the private fund industry and for the SEC. This article presents the results of a survey of SEC-registered investment advisers to private funds after the SEC's first mandatory collection of private fund data. The key findings of this study indicate that the majority of private fund advisers responding to the survey incurred less than $10,000.00 to prepare their initial data reporting to the SEC, with the cost of subsequent annual Form PF filings at about half the initial cost. Larger private fund advisers, required to file quarterly, are faced with substantially higher compliance cost, both for their initial data reporting and for subsequent quarterly filings. The data analysis in this study affirms SEC cost estimates for smaller private fund advisers' Form PF compliance costs. The SEC appears to have overestimated the costs of Form PF compliance for larger private fund advisers. While the data analysis in this study suggests that the overall effect of private fund disclosure requirements on the private fund industry is moderate, the data analysis also indicates that the data reporting requirements for private funds and the corresponding SEC forms can be further improved. The majority of SEC-registered private fund advisers identified the ambiguity of Form PF data reporting requirements as the most pressing issue. However, the majority of respondents also considered their existing reporting systems adequate for capturing the information required by the SEC and agreed with the SEC's definitions and instructions for Form PF. Respondents predominantly assessed the best level of guidance available from the SEC staff to assist in private fund advisers' data reporting efforts as sufficient or good.
| Author | : New York University Stern School of Business |
| Publisher | : John Wiley & Sons |
| Total Pages | : 592 |
| Release | : 2010-10-28 |
| Genre | : Business & Economics |
| ISBN | : 0470949864 |
Download Regulating Wall Street Book in PDF, ePub and Kindle
Experts from NYU Stern School of Business analyze new financial regulations and what they mean for the economy The NYU Stern School of Business is one of the top business schools in the world thanks to the leading academics, researchers, and provocative thinkers who call it home. In Regulating Wall Street: The New Architecture of Global Finance, an impressive group of the Stern school’s top authorities on finance combine their expertise in capital markets, risk management, banking, and derivatives to assess the strengths and weaknesses of new regulations in response to the recent global financial crisis. Summarizes key issues that regulatory reform should address Evaluates the key components of regulatory reform Provides analysis of how the reforms will affect financial firms and markets, as well as the real economy The U.S. Congress is on track to complete the most significant changes in financial regulation since the 1930s. Regulating Wall Street: The New Architecture of Global Finance discusses the impact these news laws will have on the U.S. and global financial architecture.
| Author | : David Skeel |
| Publisher | : John Wiley & Sons |
| Total Pages | : 243 |
| Release | : 2010-11-29 |
| Genre | : Business & Economics |
| ISBN | : 1118014928 |
Download The New Financial Deal Book in PDF, ePub and Kindle
The good, the bad, and the scary of Washington's attempt to reform Wall Street The Dodd-Frank Wall Street Reform and Consumer Protection Act is Washington's response to America's call for a new regulatory framework for the twenty-first century. In The New Financial Deal, author David Skeel offers an in-depth look at the new financial reforms and questions whether they will bring more effective regulation of contemporary finance or simply cement the partnership between government and the largest banks. Details the goals of the legislation, and reveals that how they are handled could dangerously distort American finance, making it more politically charged, less vibrant, and further removed from basic rule of law principles Provides an inside account of the legislative process Outlines the key components of the new law To understand what American financial life is likely to look like in five, ten, or twenty years, and how regulators will respond to the next crisis, we need to understand Dodd-Frank. The New Financial Deal provides that understanding, breaking down both what Dodd-Frank says and what it all means.
| Author | : Sanjay Anand |
| Publisher | : John Wiley & Sons |
| Total Pages | : 115 |
| Release | : 2011-02-01 |
| Genre | : Business & Economics |
| ISBN | : 1118028333 |
Download Essentials of the Dodd-Frank Act Book in PDF, ePub and Kindle
An executive overview of the new Financial Regulations Act This book provides an executive summary of the newly passed Financial Regulations Act. It examines the most important sections of the Act, how it impacts the financial industry, as well as what executives must know and do in order to comply with the Act. One of the first books to provide an executive summary from a compliance perspective Presents responsibilities of senior level executives regarding this new Act Reveals what has changed within the regulatory environment Provides tips and techniques throughout Describing the government regulation of securities, securities markets, and securities transactions in the United States, this timely book succinctly defines, describes, and explains domestic securities regulation for compliance officers, accountants, and broker-dealers.
| Author | : The Law The Law Library |
| Publisher | : Createspace Independent Publishing Platform |
| Total Pages | : 734 |
| Release | : 2018-06-16 |
| Genre | : |
| ISBN | : 9781721509713 |
Download Integrated Mortgage Disclosures - Real Estate Settlement Procedures Act, Regulation X - Truth in Lending Act, Regulation Z (Us Consumer Financial Protection Bureau Regulation) (Cfpb) (2018 Edition) Book in PDF, ePub and Kindle
Integrated Mortgage Disclosures - Real Estate Settlement Procedures Act, Regulation X - Truth in Lending Act, Regulation Z (US Consumer Financial Protection Bureau Regulation) (CFPB) (2018 Edition) The Law Library presents the complete text of the Integrated Mortgage Disclosures - Real Estate Settlement Procedures Act, Regulation X - Truth in Lending Act, Regulation Z (US Consumer Financial Protection Bureau Regulation) (CFPB) (2018 Edition). Updated as of May 29, 2018 Sections 1098 and 1100A of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) direct the Bureau to publish rules and forms that combine certain disclosures that consumers receive in connection with applying for and closing on a mortgage loan under the Truth in Lending Act and the Real Estate Settlement Procedures Act. Consistent with this requirement, the Bureau is amending Regulation X (Real Estate Settlement Procedures Act) and Regulation Z (Truth in Lending) to establish new disclosure requirements and forms in Regulation Z for most closed-end consumer credit transactions secured by real property. In addition to combining the existing disclosure requirements and implementing new requirements imposed by the Dodd-Frank Act, the final rule provides extensive guidance regarding compliance with those requirements. This book contains: - The complete text of the Integrated Mortgage Disclosures - Real Estate Settlement Procedures Act, Regulation X - Truth in Lending Act, Regulation Z (US Consumer Financial Protection Bureau Regulation) (CFPB) (2018 Edition) - A table of contents with the page number of each section
| Author | : The Law The Law Library |
| Publisher | : Createspace Independent Publishing Platform |
| Total Pages | : 28 |
| Release | : 2018-06-11 |
| Genre | : |
| ISBN | : 9781721057009 |
Download Delayed Implementation of Certain New Mortgage Disclosures (Us Consumer Financial Protection Bureau Regulation) (Cfpb) (2018 Edition) Book in PDF, ePub and Kindle
Delayed Implementation of Certain New Mortgage Disclosures (US Consumer Financial Protection Bureau Regulation) (CFPB) (2018 Edition) The Law Library presents the complete text of the Delayed Implementation of Certain New Mortgage Disclosures (US Consumer Financial Protection Bureau Regulation) (CFPB) (2018 Edition). Updated as of May 29, 2018 The Bureau of Consumer Financial Protection (Bureau) is amending Regulation Z (Truth in Lending) to, in effect, delay implementation of certain new mortgage disclosure requirements in title XIV of the Dodd-Frank Wall Street Reform and Consumer Protection Act that would otherwise take effect on January 21, 2013. Instead, to avoid potential consumer confusion and reduce compliance burden for industry, the Bureau plans to implement these disclosures as part of the integrated mortgage disclosure forms proposed earlier this year, which combine certain disclosures that consumers receive in connection with applying for and closing on a mortgage loan under the Truth in Lending Act and the Real Estate Settlement Procedures Act. Accordingly, this rulemaking exempts persons from complying with these mortgage disclosure requirements and provides that such exemptions are intended to last only until the integrated mortgage disclosure forms take effect. This book contains: - The complete text of the Delayed Implementation of Certain New Mortgage Disclosures (US Consumer Financial Protection Bureau Regulation) (CFPB) (2018 Edition) - A table of contents with the page number of each section
| Author | : Michael Austin Craven |
| Publisher | : |
| Total Pages | : 0 |
| Release | : 2020 |
| Genre | : Executives |
| ISBN | : |
Download The Usefulness of the Dodd-Frank Pay Ratio Disclosure Book in PDF, ePub and Kindle
The pay ratio disclosure requirement established under Section 953(b) the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) has been the subject of substantial debate since its passage in 2010. It requires most publicly traded companies to report the compensation of their Principal Executive Officer (PEO), the compensation of a median employee, and the ratio between the two, and allows them to add additional narrative disclosures. The primary point of contention is whether or not these compensation disclosures provide useful information for investors or other stakeholders, although the debate also raises the question of how the pay ratio disclosure would be used to those stakeholders.In study one, a hand-collected sample of pay ratio disclosure data is matched with existing financial statement and market data to assess the use of the pay ratio disclosure in capital markets. It is found that investors do use the pay ratio disclosure and that the new disclosure of the compensation of a median employee is most salient in the first year of the disclosure. The results suggest that the pay ratio disclosure is value-relevant to investors, potentially risk-relevant, and that these or other effects influence investor trading behavior.In study two, a behavioral experiment is conducted to examine how investors might use the pay ratio disclosure in making their evaluations of companies. It is found that investors process the information from the pay ratio disclosure through a heuristic that jointly considers distributive justice and distributive fairness within the organization. These judgements are then used by investors to evaluate the attractiveness of their investment, which in turn may influence voting behavior in say on pay votes.These results will help to resolve the debate regarding the usefulness of the Dodd-Frank pay ratio disclosure. The evidence provided suggests that the pay ratio disclosure is useful to investors in evaluating the value and risk of investments with regard to executive compensation and labor productivity. Further, it is suggested that investors are processing the information from the pay ratio disclosure by means of comparative and affective assessments of distributive justice and distributive fairness.
