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Google Keyword Rankings for : broker dealer dodd frank
1
https://www.sec.gov/rules/final/2020/34-89394.pdf
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https://www.sec.gov/rules/final/2020/34-89394.pdf
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2
https://content.next.westlaw.com/practical-law/document/I0f9fc026ef0811e28578f7ccc38dcbee/Broker-Dealer?viewType=FullText&transitionType=Default&contextData=(sc.Default)
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https://content.next.westlaw.com/practical-law/document/I0f9fc026ef0811e28578f7ccc38dcbee/Broker-Dealer?viewType=FullText&transitionType=Default&contextData=(sc.Default)
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3
https://www.jonesday.com/en/insights/2020/08/fdic-sec-adopt-rule-on-orderly-liquidation
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https://www.jonesday.com/en/insights/2020/08/fdic-sec-adopt-rule-on-orderly-liquidation
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4
https://www.loeb.com/en/insights/publications/2010/07/dodd-frank-rules-changes-affecting-broker-dealers
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https://www.loeb.com/en/insights/publications/2010/07/dodd-frank-rules-changes-affecting-broker-dealers
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5
https://www.regcompliancewatch.com/covered-broker-dealer-provisions-under-dodd-frank/
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https://www.regcompliancewatch.com/covered-broker-dealer-provisions-under-dodd-frank/
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6
https://pcaobus.org/news-events/news-releases/news-release-detail/board-approves-dodd-frank-conforming-amendments-for-broker-dealer-audits-and-certain-other-updates-and-clarifications_456
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https://pcaobus.org/news-events/news-releases/news-release-detail/board-approves-dodd-frank-conforming-amendments-for-broker-dealer-audits-and-certain-other-updates-and-clarifications_456
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7
https://www.cadwalader.com/resources/clients-friends-memos/changes-to-the-regulation-of-broker-dealers-and-investment-advisers-under-title-ix-of-the-dodd-frank-wall-street-reform-and-consumer-protection-act
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https://www.cadwalader.com/resources/clients-friends-memos/changes-to-the-regulation-of-broker-dealers-and-investment-advisers-under-title-ix-of-the-dodd-frank-wall-street-reform-and-consumer-protection-act
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8
https://www.nasaa.org/1694/dodd-frank-information-center/
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https://www.nasaa.org/1694/dodd-frank-information-center/
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9
https://www.bu.edu/rbfl/files/2013/09/FiduciaryStudySubstanceOverForm.pdf
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https://www.bu.edu/rbfl/files/2013/09/FiduciaryStudySubstanceOverForm.pdf
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10
https://www.fdic.gov/news/board-matters/2020/2020-07-24-notational-mem-b.pdf
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https://www.fdic.gov/news/board-matters/2020/2020-07-24-notational-mem-b.pdf
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11
https://www.gibsondunn.com/wp-content/uploads/documents/publications/Grafton-ImpactofDoddFrankActOnSecuritiesIndustry.pdf
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https://www.gibsondunn.com/wp-content/uploads/documents/publications/Grafton-ImpactofDoddFrankActOnSecuritiesIndustry.pdf
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12
https://www.bakertilly.com/insights/orderly-liquidation-of-covered-broker-dealers
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https://www.bakertilly.com/insights/orderly-liquidation-of-covered-broker-dealers
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13
https://uk.practicallaw.thomsonreuters.com/Glossary/PracticalLaw/I0f9fc026ef0811e28578f7ccc38dcbee
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https://uk.practicallaw.thomsonreuters.com/Glossary/PracticalLaw/I0f9fc026ef0811e28578f7ccc38dcbee
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14
https://www.govinfo.gov/app/details/FR-2020-08-31/2020-16468
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https://www.govinfo.gov/app/details/FR-2020-08-31/2020-16468
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15
https://dart.deloitte.com/USDART/home/news/all-news/2020/jul/sec-fdic-rule-broker-dealer
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https://dart.deloitte.com/USDART/home/news/all-news/2020/jul/sec-fdic-rule-broker-dealer
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16
https://corpgov.law.harvard.edu/2011/10/08/broker-dealers-respond-to-dodd-frank-and-finra/
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https://corpgov.law.harvard.edu/2011/10/08/broker-dealers-respond-to-dodd-frank-and-finra/
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17
https://katten.com/SEC-Proposes-Fiduciary-Rule-for-Broker-Dealers
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https://katten.com/SEC-Proposes-Fiduciary-Rule-for-Broker-Dealers
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18
https://www.cftc.gov/LawRegulation/DoddFrankAct/registerswapdealer.html
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https://www.cftc.gov/LawRegulation/DoddFrankAct/registerswapdealer.html
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19
https://news.bloomberglaw.com/securities-law/sec-broker-conflict-rule-stands-authorized-by-dodd-frank
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https://news.bloomberglaw.com/securities-law/sec-broker-conflict-rule-stands-authorized-by-dodd-frank
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20
https://www.mondaq.com/unitedstates/dodd-frank-consumer-protection-act/970264/agencies-finalize-orderly-liquidation-rule-for-covered-broker-dealers?type=mondaqai&score=92
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https://www.mondaq.com/unitedstates/dodd-frank-consumer-protection-act/970264/agencies-finalize-orderly-liquidation-rule-for-covered-broker-dealers?type=mondaqai&score=92
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21
https://www.sifma.org/resources/general/proposed-best-interests-of-the-customer-standard-for-broker-dealers/
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https://www.sifma.org/resources/general/proposed-best-interests-of-the-customer-standard-for-broker-dealers/
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22
https://www.sullcrom.com/Broker-Dealer?view=Resources&allresources=1
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https://www.sullcrom.com/Broker-Dealer?view=Resources&allresources=1
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23
https://www.investor.gov/introduction-investing/investing-basics/role-sec/laws-govern-securities-industry
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https://www.investor.gov/introduction-investing/investing-basics/role-sec/laws-govern-securities-industry
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24
https://www.goodwinlaw.com/publications/2020/07/agencies-adopt-final-rule-on-the-orderly-liquidati
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https://www.goodwinlaw.com/publications/2020/07/agencies-adopt-final-rule-on-the-orderly-liquidati
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25
https://www.brookings.edu/research/dwindling-numbers-in-the-financial-industry/
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https://www.brookings.edu/research/dwindling-numbers-in-the-financial-industry/
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26
https://www.investopedia.com/terms/s/swap-dealer.asp
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https://www.investopedia.com/terms/s/swap-dealer.asp
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27
https://www.nytimes.com/2016/02/26/business/dealbook/sorting-out-dodd-franks-treatment-of-failed-broker-dealers.html
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https://www.nytimes.com/2016/02/26/business/dealbook/sorting-out-dodd-franks-treatment-of-failed-broker-dealers.html
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28
https://www.mayerbrown.com/en/perspectives-events/publications/2016/03/us-fdic-and-sec-propose-rules-to-govern-the-orderl
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https://www.mayerbrown.com/en/perspectives-events/publications/2016/03/us-fdic-and-sec-propose-rules-to-govern-the-orderl
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29
https://www.ibm.com/docs/en/SSN364_8.8.0/com.ibm.ima.toc/whats_new/data/bdw/86/dod_fra.html
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https://www.ibm.com/docs/en/SSN364_8.8.0/com.ibm.ima.toc/whats_new/data/bdw/86/dod_fra.html
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30
https://crsreports.congress.gov/product/pdf/R/R41503/3
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https://crsreports.congress.gov/product/pdf/R/R41503/3
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31
https://www.gao.gov/assets/b-332483.pdf
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https://www.gao.gov/assets/b-332483.pdf
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32
https://www.regulatoryreformtaskforce.com/portalresource/No%20Easy%20Road.pdf
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https://www.regulatoryreformtaskforce.com/portalresource/No%20Easy%20Road.pdf
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33
https://ag.ny.gov/sites/default/files/doc_01_complaint.pdf
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https://ag.ny.gov/sites/default/files/doc_01_complaint.pdf
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34
https://home.treasury.gov/system/files/261/2011-Progress-in-the-Implementation-of-the-Dodd-Frank-Act;-Council-Activities.pdf
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https://home.treasury.gov/system/files/261/2011-Progress-in-the-Implementation-of-the-Dodd-Frank-Act;-Council-Activities.pdf
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35
https://lawblogs.uc.edu/sld/dodd-frank-act-section-925-collateral-bars/
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https://lawblogs.uc.edu/sld/dodd-frank-act-section-925-collateral-bars/
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36
https://www.davispolk.com/sites/default/files/files/Publication/ced2697b-af28-4668-8128-4f0340cc410e/Preview/PublicationAttachment/8e18090c-294b-460b-bb32-16c705ea9235/rcolby.afei.titleVII.extraterritoriality.Futures.Deriv.Law.Rep.v2.pdf
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https://www.davispolk.com/sites/default/files/files/Publication/ced2697b-af28-4668-8128-4f0340cc410e/Preview/PublicationAttachment/8e18090c-294b-460b-bb32-16c705ea9235/rcolby.afei.titleVII.extraterritoriality.Futures.Deriv.Law.Rep.v2.pdf
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37
https://www.dodd-frank.com/
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https://www.dodd-frank.com/
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38
https://www.corporatefinancialweeklydigest.com/articles/dodd-frank-developments/
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https://www.corporatefinancialweeklydigest.com/articles/dodd-frank-developments/
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39
https://www.reginfo.gov/public/do/eAgendaViewRule?pubId=202004&RIN=3235-AL51
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https://www.reginfo.gov/public/do/eAgendaViewRule?pubId=202004&RIN=3235-AL51
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40
https://www.americanbar.org/content/dam/aba/publications/blt/2010/10/inside-buslaw-fiduciary-duty-201010.pdf
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https://www.americanbar.org/content/dam/aba/publications/blt/2010/10/inside-buslaw-fiduciary-duty-201010.pdf
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41
https://www.chamberlainlaw.com/practices-broker_dealers.html
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https://www.chamberlainlaw.com/practices-broker_dealers.html
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42
https://www.willkie.com/-/media/files/publications/2012/05/swap-dealer-and-security-based-swap-dealer-defined/files/swapdealerandsecuritybasedswapdealerdefinedpdf/fileattachment/swap_dealer_and_security_based_swap_dealer_defined.pdf
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https://www.willkie.com/-/media/files/publications/2012/05/swap-dealer-and-security-based-swap-dealer-defined/files/swapdealerandsecuritybasedswapdealerdefinedpdf/fileattachment/swap_dealer_and_security_based_swap_dealer_defined.pdf
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43
https://www.sidley.com/en/insights/newsupdates/2016/05/sec-and-fdic-proposed-rules
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https://www.sidley.com/en/insights/newsupdates/2016/05/sec-and-fdic-proposed-rules
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44
https://www.msk.com/newsroom-events-629
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https://www.msk.com/newsroom-events-629
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45
https://www.wealthmanagement.com/regulation-compliance/dodd-frank-take-stand-against-secs-reg-bi
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https://www.wealthmanagement.com/regulation-compliance/dodd-frank-take-stand-against-secs-reg-bi
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46
https://www.everycrsreport.com/reports/R41381.html
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https://www.everycrsreport.com/reports/R41381.html
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47
https://scholarship.law.unc.edu/cgi/viewcontent.cgi?referer=&httpsredir=1&article=1300&context=ncbi
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https://scholarship.law.unc.edu/cgi/viewcontent.cgi?referer=&httpsredir=1&article=1300&context=ncbi
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48
https://wholesale.banking.societegenerale.com/en/compliance-regulatory-information/market-regulation/dodd-frank-act/
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https://wholesale.banking.societegenerale.com/en/compliance-regulatory-information/market-regulation/dodd-frank-act/
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49
https://www.planadviser.com/dodd-frank-authors-say-reg-bi-halted-appeals-court/
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https://www.planadviser.com/dodd-frank-authors-say-reg-bi-halted-appeals-court/
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50
https://www.doddfrankupdate.com/DFU/ArticlesDFU.aspx?taxonomy=BrokerDealer
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https://www.doddfrankupdate.com/DFU/ArticlesDFU.aspx?taxonomy=BrokerDealer
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51
https://www.law.cornell.edu/wex/dodd-frank_title_ii_-_orderly_liquidation_authority
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https://www.law.cornell.edu/wex/dodd-frank_title_ii_-_orderly_liquidation_authority
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52
https://digitalcommons.usm.maine.edu/business-faculty/40/
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https://digitalcommons.usm.maine.edu/business-faculty/40/
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53
https://thefiduciaryinstitute.org/wp-content/uploads/2013/02/DoddFrankSection913.pdf
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https://thefiduciaryinstitute.org/wp-content/uploads/2013/02/DoddFrankSection913.pdf
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54
https://repository.law.miami.edu/umlr/vol73/iss3/9/
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https://repository.law.miami.edu/umlr/vol73/iss3/9/
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55
https://digitalcommons.nyls.edu/cgi/viewcontent.cgi?article=1110&context=nyls_law_review
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https://digitalcommons.nyls.edu/cgi/viewcontent.cgi?article=1110&context=nyls_law_review
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56
https://www.spglobal.com/marketintelligence/en/news-insights/latest-news-headlines/fdic-sec-adopt-final-rule-on-broker-dealer-liquidation-59583599
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https://www.spglobal.com/marketintelligence/en/news-insights/latest-news-headlines/fdic-sec-adopt-final-rule-on-broker-dealer-liquidation-59583599
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57
https://www.investmentnews.com/tougher-dodd-frank-fiduciary-standard-for-brokers-runs-aground-46738
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https://www.investmentnews.com/tougher-dodd-frank-fiduciary-standard-for-brokers-runs-aground-46738
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58
https://www.wsj.com/articles/BL-MBB-17977
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https://www.wsj.com/articles/BL-MBB-17977
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59
https://www.morganlewis.com/pubs/2011/01/analysis-of-the-sec-staffs-study-on-investment-advisers-and-broker-dealers
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https://www.morganlewis.com/pubs/2011/01/analysis-of-the-sec-staffs-study-on-investment-advisers-and-broker-dealers
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60
https://www.gtlaw.com/en/general/frac/broker-dealer-regulation-and-compliance
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https://www.gtlaw.com/en/general/frac/broker-dealer-regulation-and-compliance
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61
https://www.maine.gov/ag/news/article.shtml?id=1509015
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https://www.maine.gov/ag/news/article.shtml?id=1509015
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62
https://scholarship.law.pitt.edu/fac_articles/238/
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https://scholarship.law.pitt.edu/fac_articles/238/
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63
https://digitalcommons.law.umaryland.edu/cgi/viewcontent.cgi?article=1165&context=jbtl
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https://digitalcommons.law.umaryland.edu/cgi/viewcontent.cgi?article=1165&context=jbtl
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64
https://www.insurancejournal.com/news/national/2019/09/11/539510.htm
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https://www.insurancejournal.com/news/national/2019/09/11/539510.htm
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65
https://www.llsdc.org/assets/DoddFrankdocs/crs-r41381.pdf
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https://www.llsdc.org/assets/DoddFrankdocs/crs-r41381.pdf
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66
https://www.hklaw.com/-/media/files/insights/publications/2022/05/usderivativesrecordkeepingregulation.pdf?la=en
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https://www.hklaw.com/-/media/files/insights/publications/2022/05/usderivativesrecordkeepingregulation.pdf?la=en
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67
https://www.millercanfield.com/newsevents-news-838.html
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https://www.millercanfield.com/newsevents-news-838.html
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68
https://www.banking.senate.gov/download/021711schapiro-testimony
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https://www.banking.senate.gov/download/021711schapiro-testimony
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69
https://www.clearygottlieb.com/-/media/organize-archive/cgsh/files/publication-pdfs/fiduciary-duties-broker-dealers-and-sophisticated-clients-a-mis-match-that-could-only-be-made-in-washington.pdf
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https://www.clearygottlieb.com/-/media/organize-archive/cgsh/files/publication-pdfs/fiduciary-duties-broker-dealers-and-sophisticated-clients-a-mis-match-that-could-only-be-made-in-washington.pdf
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70
https://media.mofo.com/docs/pdf/180111-iflr-broker-dealers/33F7AFFD1F73B3D61ABAE77BB90B602E/180111-iflr-broker-dealers.pdf
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https://media.mofo.com/docs/pdf/180111-iflr-broker-dealers/33F7AFFD1F73B3D61ABAE77BB90B602E/180111-iflr-broker-dealers.pdf
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71
https://www2.law.temple.edu/10q/broker-dealer-recordkeeping-requirements/
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https://www2.law.temple.edu/10q/broker-dealer-recordkeeping-requirements/
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72
https://www.chapman.com/media/publication/851_Chapman_SEC_Broker-Dealer_Best_Interest_Disclosure_Investment_Adviser_041818.pdf
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https://www.chapman.com/media/publication/851_Chapman_SEC_Broker-Dealer_Best_Interest_Disclosure_Investment_Adviser_041818.pdf
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73
https://www.bakerlaw.com/files/Uploads/Documents/News/Articles/LITIGATION/2011/NLJ_Carney_Harker_February-2011.pdf
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https://www.bakerlaw.com/files/Uploads/Documents/News/Articles/LITIGATION/2011/NLJ_Carney_Harker_February-2011.pdf
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74
https://cca.hawaii.gov/sec/investment-adviser-alert-changes-under-dodd-frank/
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https://cca.hawaii.gov/sec/investment-adviser-alert-changes-under-dodd-frank/
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75
https://restructuring.weil.com/dodd-frank/fdic-proposed-rule-will-determine-which-companies-are-covered-by-the-new-orderly-liquidation-authority/
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https://restructuring.weil.com/dodd-frank/fdic-proposed-rule-will-determine-which-companies-are-covered-by-the-new-orderly-liquidation-authority/
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76
https://www.bakerdonelson.com/SEC-Study-Recommends-Uniform-Fiduciary-Standard-for-Broker-Dealers-and-Investment-Advisers-01-25-2011
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https://www.bakerdonelson.com/SEC-Study-Recommends-Uniform-Fiduciary-Standard-for-Broker-Dealers-and-Investment-Advisers-01-25-2011
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77
https://www.ropesgray.com/-/media/Files/alerts/2010/08/dodd-frank-financial-reform-legislation-contains-many-little-noticed-provisions-that-enhance-sec-enforcement-powers.pdf
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https://www.ropesgray.com/-/media/Files/alerts/2010/08/dodd-frank-financial-reform-legislation-contains-many-little-noticed-provisions-that-enhance-sec-enforcement-powers.pdf
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78
https://www.latimes.com/business/story/2019-09-10/sec-broker-dealer-rule-fails-to-protect-customers-enough-states-lawsuit-says
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https://www.latimes.com/business/story/2019-09-10/sec-broker-dealer-rule-fails-to-protect-customers-enough-states-lawsuit-says
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79
https://www.wilmerhale.com/en/insights/client-alerts/20200212-the-secs-security-based-swap-recordkeeping-and-reporting-rules
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81
https://fintech.global/2019/09/23/the-sec-alters-dodd-frank-rules-for-broker-dealers/
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82
https://sites.duke.edu/thefinregblog/2020/03/05/xy-planning-network-llc-v-sec-broker-conflicts-of-interest-regulation-best-interest-and-investors-false-sense-of-security
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83
https://financialservices.house.gov/uploadedfiles/091311fpc.pdf
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84
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86
https://www.mercatus.org/publications/financial-markets/dodd-frank-act-and-regulatory-overreach
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87
https://www.newyorkfed.org/medialibrary/microsites/fmlg/files/talkingpoints_07312012.PDF
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https://papers.ssrn.com/sol3/papers.cfm?abstract_id=1767564
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https://center-forward.org/explaining-the-dodd-frank-act/
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https://www.cfp.net/news/2011/01/dodd-frank-studies-related-to-financial-planning
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https://web.law.columbia.edu/sites/default/files/document-library/clsbsbdl_document/files/010313_sec_adpots_0.pdf
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