Search for: "Frank Auditore"
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19 Apr 2018, 7:01 am
Auditor tenure disclosure. [read post]
14 Sep 2015, 7:30 am
Energy that the plain language of Dodd-Frank unambiguously requires SEC reporting. [read post]
20 Oct 2011, 10:17 am
(D-PA), Frank R. [read post]
10 Mar 2017, 9:40 am
The language of the subdivision, however, illuminated Congress’s intent to protect certain professionals, namely auditors and attorneys, who are required to report violations internally before they can do so externally. [read post]
11 Feb 2015, 6:30 am
Be completely frank and honest as well as cordial. [read post]
29 Nov 2017, 8:42 am
District Court for the Northern District of California claiming protection under the Dodd-Frank Act of 2010. [read post]
30 Jun 2009, 6:57 pm
– Thanks Frank! [read post]
24 Jul 2022, 9:05 pm
The enactment of the Sarbanes–Oxley Act of 2002 (SOX) led to creation of the Public Companies Oversight Board (PCAOB), which oversees the audits of public companies, and the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 expanded the PCAOB’s oversight responsibilities. [read post]
1 Nov 2011, 8:14 am
According to PCAOB Member Dan Goelzer, the Board’s new broker-dealer auditor inspection regime will be guided by the principles of investor protection, diversity among brokers, and a balancing of costs against benefits. [read post]
17 Oct 2011, 7:04 am
Dodd-Frank intentionally did not use a de minimis rule. [read post]
23 Feb 2018, 6:09 am
The Court said its reading also shields employees, such as auditors and attorneys, who are required to report internally before they may do so externally: As soon as they make an external report, Dodd-Frank kicks in. [read post]
7 Mar 2011, 5:26 pm
The comments were submitted at the SEC’s invitation as the Commission prepares a report mandated by Section 929Y of Dodd-Frank to address whether the rule announced by the Supreme Court in Morrison v. [read post]
31 Oct 2011, 9:26 am
However, unlike the inspection reports of auditors of public companies, the interim inspection program for auditors of brokers and dealers will not initially include firm-specific inspection reports. [read post]
27 Apr 2017, 8:22 am
Waters also queried Hensarling over his claim that Congress has held 145 hearings on the Dodd-Frank Act and the CHOICE Act. [read post]
12 Apr 2011, 11:46 am
No cut in the budget but audits by the GAO and an outside auditor. [read post]
11 Mar 2011, 5:00 am
Moreover, the Volcker Rule and other significant regulatory changes under the Dodd- Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act)—the import of which are just becoming clear—will themselves prompt new M&A activity. [read post]
10 Jan 2012, 1:27 pm
Pitts, Ranking Member Frank Pallone, Jr., and Rep. [read post]
29 Sep 2011, 9:22 pm
In the resulting study, the SEC concluded that the existing requirements for issuers with a $75-$250 million public float to comply with the auditor attestation provisions of Section 404(b) should be maintained and that no new exemptions should be granted. [read post]
6 Feb 2013, 4:31 am
GAO Report: Dodd-Frank Progress Recently, GAO issued this report that identified 236 provisions of Dodd-Frank that require regulators to issue rulemakings across 9 key areas. [read post]
22 Jan 2015, 1:44 am
Managing transactions, while obviously sub-optimal from a business perspective, are unlikely to attract the attention of auditors and regulators. [read post]
