Securities Exchange Act of 1934

Financial Industry Breakfast Briefing – Credit Risk Retention NPR

April 29, 2011 – A panel of Orrick lawyers will discuss recently proposed rules to implement the credit risk retention requirements of section 15G of the Securities Exchange Act of 1934, as added by section 941 of the Dodd-Frank Act. Click here for more information and to RSVP. Click here for Orrick’s White Paper on the Proposed Rules.

Dodd-Frank Act: Proposed Rules to Implement Sections 1502-1504 Relating to Conflict Minerals, Mine Safety and Payments by Resource Extraction Issuers

Among the other notable changes to the U.S. financial regulatory system, the Dodd-Frank Act included three sections of particular importance to petroleum and mining companies registered under the Securities Exchange Act of 1934. These sections deal with “conflict minerals” from the Democratic Republic of the Congo and adjoining countries, the reporting of mine safety matters, and the disclosure of payments to domestic and foreign governments by resource extraction issuers. Click here to read more.

SEC Whistleblower Program Proposal

On November 3, the SEC proposed rules and forms to implement Section 21F of the Securities Exchange Act of 1934, entitled “Securities Whistleblower Incentives and Protection“, which was added under the Dodd-Frank Act.  Comments on the proposed rules must be submitted by December 17. SEC Release. SEC Proposed Rule.