# kaal:claim:2273857-032

**Claim.** Both the Sarbanes-Oxley Act and the Dodd-Frank Act were amended and revised, and some of their most controversial provisions were never enforced.

**Type.** empirical  **Support.** evidenced

**Holds when.**

- United States federal securities and financial regulation

**Source quote.**

> Both SOX and the Dodd-Frank Act were amended and revised. Some of their most controversial provisions were not enforced.

**From.** Wulf A. Kaal, *Dynamic Regulation of the Financial Services Industry* (2013), II.2.b Contraction, page 16

**Cite as.** Wulf A. Kaal, Dynamic Regulation of the Financial Services Industry (2013). SSRN: https://ssrn.com/abstract=2273857

**Verify.** sha256 of source PDF `e7cb3dea40593135acc99a9b00690138fe01020514ebf388f5140e1b0e59e82a` at https://raw.githubusercontent.com/wulfkaal/Academic-Papers/main/papers/pdf/Kaal%20-%202013%20-%20Dynamic%20Regulation%20of%20the%20Financial%20Services%20Industry.pdf

**Failure mode.** non-enforcement of controversial provisions  (family: enforcement-gap)

**Topics.** compliance

**Keywords.** sarbanes-oxley, dodd-frank, non-enforcement, rule-retraction

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