Client Alert Current Issues Relevant to Our Clients January 29, 2015 SEC Examination Priorities for 2015

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Date: 2015-01-29 12:28:43 Business Investment Registered Investment Advisor Financial Industry Regulatory Authority Financial adviser Registered representative Dodd–Frank Wall Street Reform and Consumer Protection Act U.S. Securities and Exchange Commission Short Financial economics Finance United States securities law		Client Alert Current Issues Relevant to Our Clients January 29, 2015 SEC Examination Priorities for 2015 Add to Reading List Source URL: www.chapman.com Download Document from Source Website File Size: 258,15 KB Share Document on Facebook

	CONFLICT MINERALS The following is provided in connection with Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act and Securities and Exchange Commission Rule 13p-1 and Form SD (17 CFR 240.13p-1 DocID: 1vnAy - View Document
	Section 10 : Dodd-Frank Act Dodd–Frank Wall Street Reform and Consumer Protection Act This act required the Consumer Financial Protection Bureau to issue new rules to protect consumers who send money electronically to DocID: 1ve5J - View Document
	Dodd-Frank at Five Years: Implications for Consumers and the Economy By Todd J. Zywicki Introduction Enacted into law in July 2010, the Dodd-Frank Wall Street Reform and Consumer Protection Act (DoddFrank) was animated DocID: 1uVfQ - View Document
	Background In 2012, the U.S. Securities and Exchange Commission (SEC) adopted rules mandated by the conflict minerals disclosure provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These rules re DocID: 1sDmX - View Document
	STUDY & RECOMMENDATIONS ON PROHIBITIONS ON PROPRIETARY TRADING & CERTAIN RELATIONSHIPS WITH HEDGE FUNDS & PRIVATE EQUITY FUNDS FINANCIAL STABILITY OVERSIGHT COUNCIL Completed pursuant to section 619 of the Dodd-Frank Wal DocID: 1rrAM - View Document