Tag Archives: Dodd-Frank

New Title! Financial Services Regulation Deskbook

Signed into law on July 21, 2010, the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) is the most significant piece of financial legislation since the Great Depression. At over 880 pages for its 16 titles, this massive new law fundamentally changes financial services law. PLI’s Financial Services Regulation Deskbook walks you through all the significant changes made by the Act and subsequent implementing regulations. It is organized by subject matter and is accompanied by commentary on the practical effects of the legislation on industry practice, including pointing out areas of legal ambiguity that must be solved only by advocacy with the relevant regulators.

The Financial Services Regulation Deskbook walks the reader through all of the significant provisions of Dodd-Frank, including those which:

  • created two new significant federal agencies, the Financial Stability Oversight FSOC (Council) and the Consumer Financial Protection Bureau (CFPB);
  • require significant heightened prudential standards for systemically significant financial companies;
  • prohibit, subject to exceptions, banks from engaging in proprietary trading and sponsoring and investing in hedge funds and private equity funds;
  • require U.S. banks and other entities that receive federal “financial assistance” to push-out much of their derivatives businesses to nonbank affiliates;
  • create a new “Orderly Liquidation Authority” for systemic financial firms;
  • impose increased prudential regulation on banks and their holding companies; and
  • for the first time, comprehensively regulate derivatives activities.

Written by Arthur Long, a partner at Davis Polk who is a member of the firm’s Financial Institutions Group, the Financial Services Regulation Deskbook includes a full discussion of the context surrounding the changes made by Dodd-Frank, including a discussion of the Senate and House legislative history, the specific issues during the economic crisis period that many of the changes were meant to address, as well as the impact of the steady flow of implementing regulations that have been issued since the Act went into effect.

If you would like to order a copy or need more information, please contact Library Relations (877-900-5291; libraryrelations@pli.edu).

June 2012 Treatise Updates

In June 2012, the following PLI treatises were updated:

If you are on standing order for any of the above titles, these releases have already been shipped. If you would like to place an order, please email libraryrelations@pli.edu.

2012 PLI Treatise Catalog

The 2012 PLI Treatise Catalog is now available.  View it online here.  If you would like a print copy mailed to you, please email us at libraryrelations@pli.edu.

  New additions to the catalog include:

– Insider Trading Law and Compliance Answer Book 2011-2012
– Corporate Legal Departments: Practicing Law in a Corporation (4th Edition)
– The Securities Law of Public Finance (3rd Edition)
– Asset-Based Lending: A Practical Guide to Secured Financing (7th Edition)
– Corporate Whistleblowing in the Sarbanes-Oxley/Dodd-Frank Era (2nd Edition)

Say on Pay


This 11.41 minute video is a segment from PLI’s program Hot Topics in Executive Compensation 2011. Mary Alcove’s section starts at minute 3.19

In addition, you can pick up the book that accompanied the program here. Privileged Members receive a 50% discount.

Book title: Hot Topics in Executive Compensation 2011

Publication date: April 2011
ISBN: 978-1-4024-1582-1
Item #: 28904
Price: $199.00

Free One-Hour Briefing on Dodd-Frank Research

PLI and LLAGNY have teamed up to offer a free one-hour audio briefing to librarians, researchers, attorneys, and allied professionals.  The program is entitled Where in the World is Dodd-Frank? A Guide for Researchers.

The session will cover:

  • An overview of the Dodd-Frank Act & the best available tools for getting up to speed on the law
  • How the regulatory structure has changed, and changes still in the offing
  • The best resources for tracking the ongoing regulatory process

This briefing, featuring instruction from noted law librarians Craig Eastland and Lisa A. Junghahn, was conceived and created in cooperation with the Practising Law Institute (PLI) and the Law Library Association of Greater New York (LLAGNY). This briefing is chaired by Janice E. Henderson, Gitelle Seer, and Patricia Barbone.


Attendees also receive a 20% discount on PLI’s treatise Dodd-Frank Wall Street Reform and Consumer Protection Act — A Summary.


Please note this program has expired.  If you are interested in current PLI Library Programs, please visit www.pli.edu/libraryaudiobriefings.

Dodd-Frank: new venture capital rules & rulemaking tracker

As part of the Dodd-Frank Act, many of the proposed rules have been written and are be available for public comment.  Most recently, the Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers was posted here.  Imagine my pleasant surprise to see two PLI treatises cited in the proposed rules: Exempt and Hybrid Securities Offerings and Private Equity Funds: Formation and Operation.

In addition, the PLI Securities Law Practice Center set up some resources to help you keep up with the rulemaking. 

1. Dodd-Frank Rulemaking Tracker: Through this handy tool you can search for rulemaking by agency and by topic area within an agency.

2. This Week’s Rulemaking: This calendar feature shows the latest rulemaking announcements with agency, type of announcement, and links to the Federal Register.

3. Dodd-Frank News: This is an up-to-the-minute news feed devoted solely to Dodd-Frank news.

These three helpful tools are available here (they appear on the right-hand side).

Dodd-Frank Whistleblower Rules

The Bernie Madoff scandal shed light on the shortcomings of the SEC’s whistleblower policies.  Some have suggested that their whistleblower policy should more closely mirror the program of the IRS, which many find to be a successful tool in combating tax fraud.  The Dodd-Frank Act has provisions to enhance the SEC’s whistleblower protections.  It also adds incentive for anyone who has something to report by expanding the bounties whistleblowers can receive.  The SEC outlined their new rules and the public can comment on the proposed rules until December 17th.   If you are interested in commenting on these rules you can do so at the SEC’s Public Comment page

The Wall Street Journal reported on this yesterday and pointed out that “companies fear the program, created by the Dodd-Frank financial law, will undermine the anonymous hotlines and other processes they have put in place following the 2002 Sarbanes-Oxley law to encourage employees to report problems internally.”  To address this, the proposed rules do add provisions for people who initially report wrongdoing internally and contact the SEC within 90 days.

Interested in learning more about Dodd-Frank and what it means to your organization?  You can check out PLI’s one hour briefings on the subject.  Or, check out our latest publication entitled Dodd-Frank Wall Street Reform and Consumer Protection Act–A Summary.

Book Information: Dodd-Frank Wall Street Reform and Consumer Protection Act–A Summary

ISBN Number: 978-1-4024-1508-1

Number of Volumes: 1

Page Count: 93 pages

Item#: 30981

Price: $29.95

New “Frank” Legislation

Last month I wrote about the new Dodd-Frank Act and how PLI is providing timely information about what this legislation means to your organization.  In today’s Washington Post article After mortgage meltdown, Barney Frank gets another chance to remake housing finance we get to see how this champion for affordable housing might be changing government policy.  Barney Frank has a chance to play a critical role as the Obama administration determines the future of mortgage companies Fannie Mae and Freddie Mac.

And as a reminder, if you are looking for timely and up-to-date information about the Dodd-Frank Act, you should check out PLI’s one hour briefings on the subject.  Early next year we will be publishing a treatise dealing with the Dodd-Frank act.  Check back here; I will post information as it becomes available.

Keeping Up With Dodd-Frank

Since the Dodd-Frank Act was passed this summer, everyone is trying keep up with it.  Librarians and practitioners need to understand what the legislation means to their organization.  Here at PLI, our program attorneys have created a series of 1-hour briefings on the Dodd-Frank Act.  If you are looking for timely and up-to-date information you should check out these briefings.

Also, our PLI Securities Law Practice Center has been providing valuable insight.  For example, the Dodd-Frank Act increases whistleblower protections and outlines the bounty a whistleblower may receive.  This will encourage citizens to report wrongdoing and help shield them from retaliation.  The plan models similar IRS whistleblower protections which have proved successful.  Interested in learning more?  PLI’s Securities Law Practice Center blog addressed this topic.