Search for: "Clayton Dodds"
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18 Jan 2021, 11:30 am
Gensler chaired the CFTC from 2009 to 2014, during which he oversaw the implementation of sweeping changes to the agency mandated by the Dodd-Frank Act. [read post]
23 Oct 2020, 1:11 pm
” SEC Whistleblower Program Since the SEC whistleblower program was created in 2010 with the Dodd-Frank Act, $676 million has been awarded to 108 people. [read post]
18 Jan 2021, 11:30 am
Gensler chaired the CFTC from 2009 to 2014, during which he oversaw the implementation of sweeping changes to the agency mandated by the Dodd-Frank Act. [read post]
21 Mar 2009, 6:35 pm
Dodd is sinking fast in CT. [read post]
19 Jul 2017, 4:27 pm
In addition, Congress blows hot and cold on securities litigation issues (compare the PSLRA to SOX and Dodd-Frank). [read post]
WNN Exclusive: The SEC Whistleblower Program Enriches the Treasury, Not an Inner Circle of Attorneys
4 Oct 2022, 7:32 am
Zero taxpayer dollars have been used to finance whistleblower awards and pay whistleblower attorneys The passage of the Dodd-Frank Act in 2010 established the SEC Whistleblower Program. [read post]
30 Jul 2021, 7:51 am
The CFTC, by contrast, has been historically underfunded given its regulatory duties, especially after enactment of the Dodd-Frank Act swaps and derivatives reforms more than a decade ago. [read post]
21 Jun 2019, 7:40 am
I am grateful to Chairman Giancarlo and Chairman Clayton for their work on this rule and our broader cooperation efforts. [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]
7 Apr 2022, 11:49 am
Uyeda’s previous roles with the SEC include Senior Advisor to Chairman Jay Clayton and Acting Chairman Michael S. [read post]
13 Dec 2019, 12:53 am
Thomas NYU Law’s Compliance & Enforcement blog Nearly ten years ago, following a global financial collapse spurred by serial wrongdoing, Congress enacted the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
13 Dec 2019, 6:00 am
Senate Testimony by SEC Chairman Clayton on “Oversight of the Securities and Exchange Commission” Posted by Jay Clayton, U.S. [read post]
1 Sep 2020, 3:35 pm
Chairman Clayton and the two Republican Commissioners view the rules as an important first step toward modernizing the definition and expanding access to private capital markets. [read post]
12 Jul 2019, 6:17 am
Securities and Exchange Commission, on Tuesday, July 9, 2019 Tags: Broker-dealers, Compliance & ethics, Conflicts of interest, Fiduciary duties, Investment advisers, Investor protection, Regulation Best Interest, Retail investors, SEC, Securities regulation, Transparency Statement on Retirement of Chief Justice Strine Posted by Jay Clayton, U.S. [read post]
6 Jan 2017, 5:50 am
IN THE NEWS President-elect Donald Trump announced his intention to nominate Jay Clayton—a partner at the law firm Sullivan & Cromwell who has represented many Wall Street banks—to be Chair of the U.S. [read post]
19 Jan 2018, 6:30 am
Posted by Jay Clayton, U.S. [read post]
29 Oct 2020, 2:02 pm
Indeed, the SEC’s press release quotes SEC Chair Jay Clayton as saying “Today’s milestone award is a testament to the Commission’s commitment to award whistleblowers who provide the agency with high-quality information. [read post]
20 Dec 2019, 6:10 am
Koors, Pearl Meyer & Partners, LLC, on Thursday, December 19, 2019 Tags: Boards of Directors, Compensation committees, Corporate culture, Executive Compensation, Executive turnover, Human capital, Management, Succession Statement by Chairman Jay Clayton at Open Meeting Posted by Jay Clayton, U.S. [read post]
16 Mar 2018, 6:08 am
, Mutual funds, Proxy advisors, Say on pay, Shareholder proposals, Shareholder voting, Vanguard Remarks to the SEC Investor Advisory Committee Posted by Jay Clayton, U.S. [read post]
13 Mar 2017, 4:46 pm
” All else equal, it seems likelier that priority of the agency under Clayton would be more toward regulatory and finance issues, rather than toward enforcement issues. [read post]
