Cross References: Dodd-Frank Title VI, Sections 404and 406; Dodd-Frank Title VII. View guidance in full here (links externally to NFA website).

The SEC has adopted rules that establish procedures for its review of certain clearing agency actions. The rules were required by the Dodd-Frank Act, which called for a new regulatory framework for trading in over-the-counter derivatives, including swap agreements. View press release here. See: Final Rule: Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations, SEC Release #: 34-67286 Summary: In accordance with

View study here.All Dodd-Frank related studies and reports can be accessed via our Dodd-Frank Studies table. Cross References Dodd-Frank § 1076

Testimony given before the subcommittee on TARP, Financial Services and Bailouts of Public and Private Programs Oversight and Government Reform Committee U.S. House of Representative. Cross References: JOBS Act; Securities Act; Exchange Act; Blacklines of the Securities Act and Exchange Act. View testimony in full here (links externally to SEC website).

The SEC charged that FalconStor Software, Inc., a Long Island, N.Y., data storage company, misled investors about bribes it paid to obtain business with a subsidiary of J.P. Morgan Chase Co. View press release in full here (links externally to SEC website).