Dodd-Frank Act Archives - The Industry Spread

CFTC’s Power To Prosecute Manipulators Examined

October 14, 2019

Some people might be thinking: Why do we need legislation like that? Don’t we already have something in place? Unfortunately, current law does not have enough protections for our consumers, and we have found in other areas that it is very important to have a strong bright line, a law on the books against manipulation

Randal K Quarles: Refining the Stress Capital Buffer

September 11, 2019

Speech by Mr Randal K Quarles, Vice Chair for Supervision of the Board of Governors of the Federal Reserve System, at the Program on International Financial Systems Conference, Frankfurt am Main, 5 September 2019.

SEC Awards $3 Million to Joint Whistleblowers

June 7, 2019

The Securities and Exchange Commission today announced an award of $3 million to whistleblowers whose tip launched the SEC’s investigation and subsequent successful enforcement action involving an alleged securities law violation that impacted retail investors. The whistleblowers submitted their tip jointly to the Commission and will share the award.  In this case, the whistleblowers also undertook significant and timely steps to have their employer remediate the harm caused by the alleged violations.