Five Key SEC Alarms

How to avoid setting them off

A sweeping piece of legislation some 2,300 pages long, the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 is intended to fix the problems that caused the market meltdown of 2008. While the legislation imposes significant changes to the financial system, it also directs the financial regulatory agencies to develop rules to address critical issues – and requires enhanced enforcement of the new rules.

While much still remains to be decided, this white paper identifies the five key SEC alarms – and how you can avoid triggering them by employing best practices.


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