Search for: "Clayton Frank"
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5 Apr 2023, 4:05 am
OMWI was started thanks to, of all things, the Dodd-Frank Act. [read post]
14 Nov 2018, 7:36 am
Asked about possible progress on other unfinished Dodd-Frank rulemaking, Hinman said that Chairman Clayton wants to do them serially, so once the hedging proposals are out the staff will move on to the others. [read post]
16 Jun 2023, 6:30 am
Feltman-Frank, and Daniel L. [read post]
16 Jun 2023, 6:30 am
Feltman-Frank, and Daniel L. [read post]
8 Sep 2010, 1:44 am
" Dodd-Frank's Effect on Non-U.S. [read post]
29 Apr 2016, 6:10 am
Sale, Washington University School of Law, on Wednesday, April 27, 2016 Tags: Boards of Directors, Caremark, Compliance and disclosure interpretation, Delaware law, Director liability,Disclosure, Fiduciary duties, Liability standards, Oversight, Rule 10b-5, Securities Act, Securities fraud, Securities litigation, Securities Regulation, Supreme Court US Regulators’ Bonus Compensation Proposal Posted by Dan Ryan, PricewaterhouseCoopers LLP, on Wednesday, April 27, 2016 Tags: Accountability,… [read post]
2 Aug 2022, 12:10 pm
Clayton County provides further fodder for debates about textualism, given the dueling opinions of Justices Gorsuch, Alito, and Kavanaugh, each of which purports to apply textualist reasoning correctly. [read post]
7 Feb 2017, 5:51 am
Since the SEC is currently subject to three vacancies, it’s unlikely that anything will happen until Jay Clayton is approved by the Senate as the new Chair. [read post]
21 Dec 2018, 6:00 am
Securities and Exchange Commission, on Friday, December 14, 2018 Tags: Agency costs, Antitrust, Boards of Directors, Common ownership, Index funds, Institutional Investors, Institutional voting, Investor protection, Market efficiency, Ownership, SEC, Securities regulation, Shareholder voting Remarks to the SEC Investor Advisory Committee Posted by Jay Clayton, U.S. [read post]
12 Mar 2021, 12:35 pm
Senator Grassley, the Chairman of the Senate’s Whistleblower Caucus, has played a key role in bipartisan efforts to protect whistleblowers and defend qui tam reward programs, such as those established under the Dodd-Frank Act in 2010. [read post]
13 Mar 2020, 6:31 am
Securities and Exchange Commission, on Saturday, March 7, 2020 Tags: Capital formation, Crowdfunding, Equity offerings, Investor protection, Private firms, SEC, SEC rulemaking, Securities regulation, Venture capital firms Statement by Chairman Clayton on Harmonizing, Simplifying and Improving the Exempt Offering Framework Posted by Jay Clayton, U.S. [read post]
22 Feb 2023, 3:25 am
The program is described as follows: In this program, you’ll learn about OMWI’s origin and mandate as part of the Dodd-Frank Act and how the office was stood up by the Commission. [read post]
23 Aug 2017, 6:09 am
Recently, the Securities and Exchange Commission revised its rule-making docket under newly appointed Chairman Clayton’s leadership and pushed all of the unfinished Dodd-Frank related rules (pay-for-performance disclosure, clawbacks and disclosure of hedging policies) and some additional governance rule-making (universal proxy cards and board diversity) to the back burner. [read post]
3 Jul 2018, 11:14 am
Somers, the SEC has acquiesced to the Supreme Court’s ruling that internal complaints are not covered under Dodd-Frank. [read post]
17 Feb 2021, 3:01 am
In the wake of trading gains realized by pharma execs when positive vaccine news came to light last fall, which were followed by remarks from outgoing SEC Chair Jay Clayton about “good corporate hygiene” for trading plans (also see this Cohen & Gresser memo), the safe harbor has been back in the spotlight. [read post]
17 Sep 2018, 6:31 am
The Dodd-Frank Act authorized the SEC to require all brokers and advisers to comply with the same fiduciary standard, the letter states. [read post]
16 Dec 2015, 4:10 pm
Members of the Idaho State Police Advanced Training Class (ATC #43), their hometowns and the ISP district office or resident area each will be assigned to are: Robert Allred - Boise - District 4 - Burley/Rupert Derek Brown - Bozeman, MT - District 4 - Sun Valley Clayton Cart - Meridian - District 3 - Meridian Derek Emmert - Boise - District 3 - Payette Cody Ercanbrack - Lewiston - District 1 - Coeur d'Alene Edward Gates - Jerome - District 4 - Jerome Seth Green - Spokane, WA - District… [read post]
31 Oct 2017, 5:00 am
From July 2010 through December 2016, the Commission’s policy agenda was determined by what Piwowar called “the Dodd-Frank Death March. [read post]
10 Apr 2020, 6:01 am
Harwood and Frank T. [read post]
30 Jun 2020, 5:30 am
His work chronicles the experience of astronomer Frank Kameny. [read post]
