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31 Oct 2018, 7:30 am
The Dodd-Frank and JOBS Act mandate created “approximately 100 good excuses” for this delay, Peirce said, and she noted that Chairman Clayton has made it a priority to finish the regulatory framework for security-based swaps. [read post]
22 Oct 2018, 2:29 pm
The decision was unanimous, with Securities and Exchange Commission (SEC) Commissioner Elad Roisman voting on delegated authority due to the recusal of SEC Chair Jay Clayton. [read post]
19 Oct 2018, 6:08 am
Securities and Exchange Commission, on Saturday, October 13, 2018 Tags: AIG, Broker-dealers, Derivatives, Financial regulation, Market efficiency, SEC, SEC rulemaking, Swaps, Transparency Opening Statement at the SEC Open Meeting Posted by Jay Clayton, U.S. [read post]
18 Oct 2018, 7:57 am
Circuit resulted in the NetCoalition II decision in which the court held that the Dodd-Frank Act deprived it of jurisdiction over the appeal. [read post]
12 Oct 2018, 8:05 am
Specifically, the subcommittee may consider the treatment under Dodd-Frank of existing derivatives contracts that are amended to include new fallback provisions or otherwise reference alternative benchmark rates. [read post]
5 Oct 2018, 5:52 am
Newman, Patterson Belknap Webb & Tyler LLP, on Monday, October 1, 2018 Tags: Accounting, Cybersecurity, Risk management, SEC, Securities regulation Public Short Selling by Activist Hedge Funds Posted by Ian Appel (Boston College), Jordan Bulka (Boston College), Vyacheslav Fos (Boston College), on Monday, October 1, 2018 Tags: Disclosure, Firm performance, Hedge funds, Information environment, Long-Term… [read post]
21 Sep 2018, 6:10 am
Securities and Exchange Commission, on Saturday, September 15, 2018 Tags: Boards of Directors, Institutional Investors, Proxy advisors, Retail investors, SEC, Securities regulation, Shareholder voting Remarks to the SEC Investor Advisory Committee Posted by Jay Clayton, U.S. [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]
24 Aug 2018, 6:06 am
Springer, Gibson, Dunn & Crutcher LLP, on Wednesday, August 22, 2018 Tags: Banks, Capital requirements, Charter & bylaws, Consumer protection, Dodd-Frank Act, Financial institutions, Financial regulation, Financial technology, OCC, Risk, Stress tests Statement on Investor Roundtables Regarding Standards of Conduct for Investment Professionals Rulemaking Posted by Jay Clayton, U.S. [read post]
20 Aug 2018, 4:30 am
(LaHatte Blog.)Related posts: ICANN Ombuds Launches Blog (Frank Fowlie); New Organizational Ombuds Blog (Clayton Gilman); Welcome Another Ombuds Blogger (Pamela Martin); Two Organizational Ombuds Launch Blogs (Bathabile Mthombeni, Wendy Friede; A New, Anonymous Ombuds Blog Launches; New Ombuds at Kidsports Blog About Their Work; Sexual Harassment Claim Against ICANN Draws in Ombuds. [read post]
3 Aug 2018, 6:10 am
Securities and Exchange Commission, on Tuesday, July 31, 2018 Tags: Broker-dealers, Conflicts of interest, Duty of care, Duty of loyalty, Fiduciary duties, FINRA, Form ADV, Form CRS, Governance standards, Investment advisers, Investor protection, Retail investors, SEC, Securities regulation Statement Announcing SEC Staff Roundtable on the Proxy Process Posted by Jay Clayton, U.S. [read post]
10 Jul 2018, 1:19 pm
Linke, Frank D. [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]
2 Jul 2018, 7:41 am
Peirce Section 922 of Dodd-Frank: Whistleblower Protection The Limit of Whistleblowers [read post]
29 Jun 2018, 6:04 am
Emmerich and Robin Panovka, Wachtell, Lipton, Rosen & Katz, on Saturday, June 23, 2018 Tags: Boards of Directors, Change in control, Merger litigation, Mergers & acquisitions, Private equity, REITs, Shareholder activism Chairman Clayton Testimony on the Oversight of the SEC Posted by Jay Clayton, U.S. [read post]
27 Jun 2018, 6:05 am
Dodd-Frank expanded the use of administrative proceedings. [read post]
22 Jun 2018, 9:34 am
Representative David Scott (D-Ga) noted that the Dodd-Frank Act required both raising the standard for broker-dealers and harmonizing the standard for investment professionals. [read post]
22 Jun 2018, 6:01 am
Gerard Comizio, Fried, Frank, Harris, Shriver & Jacobson LLP, on Monday, June 18, 2018 Tags: Banks, Capital requirements, Compliance and disclosure interpretation, Dodd-Frank Act, FDIC, Federal Reserve, Financial institutions, Financial regulation, Liquidity, Mutual funds, OCC, Proprietary trading, Volcker Rule T. [read post]
19 Jun 2018, 2:09 am
‘I don’t think Dodd-Frank is changing a great deal, just to put a pin in it. [read post]
8 Jun 2018, 6:47 am
Securities and Exchange Commission, on Thursday, June 7, 2018 Tags: Banks, Dodd-Frank Act, Federal Reserve, Financial crisis, Financial institutions, Financial regulation, Hedge funds, Hedging, Investor protection, Moral hazard, Private equity, Proprietary trading, Risk, Securities regulation, Systemic risk, Volcker Rule Statement at Open Meeting on Inter-Agency Proposal for Amendments to the Volcker… [read post]
