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21 May 2014, 1:42 pm
The motion was granted on the eve of trial. [read post]
21 Jul 2010, 10:14 am
Over at the Glom, the Dodd-Frank Masters forum continues for a third excellent day. [read post]
22 Jun 2011, 8:16 am
Richard Frank previews the case here. [read post]
24 Sep 2010, 2:10 pm
The SEC published interpretive guidance to clarify the application of certain Commission rules, regulations, releases, and staff bulletins in light of the authority granted to the Public Company Accounting Oversight Board in the Dodd-Frank Wall Street Reform and Consumer Protection... [read post]
25 Apr 2012, 10:13 am
First, Title I of the statute grants exemptions to “emerging growth companies” for various securities disclosure, auditing standards, and internal controls. [read post]
16 Mar 2017, 6:00 am
The SEC has determined that it will grant these requests after filing. [read post]
17 Jul 2010, 6:08 am
The information was necessary to the finding of probable cause, and the magistrate’s grant of the motion for a Franks hearing. [read post]
24 May 2013, 9:56 am
Despite increasing pressure on the SEC to exercise its Dodd-Frank-granted explicit authority to ban mandatory securities arbitration, SEC Commissioner Elisse Walter stated earlier this week, according to a report in Reuters, that the Commission won’t have time to address the issue until 2014, in light of the other mandates of Dodd-Frank. [read post]
16 Aug 2017, 5:13 am
A district court granted summary judgment in favor of the Commission on all counts, and the Eleventh Circuit later affirmed this judgment. [read post]
7 Aug 2010, 1:07 pm
The Dodd-Frank Act grants broad authority to the Commodity Futures Trading Commission to once and for all set aggregate position limits across all markets on non-commercial market participants. [read post]
11 Apr 2022, 6:17 am
On June 4, 1923, jockey Frank Hayes rode 20-1 long shot Sweet Kiss to victory at Belmont Park. [read post]
30 Aug 2007, 9:21 am
On August 20, the Supreme Court granted the motion filed by the "Shadow" SEC and Congressmen Conyers and Frank to file an amicus brief in Stoneridge. [read post]
4 May 2018, 7:21 am
Varela, No. 17-988, a California man, Frank Varela, signed an agreement to arbitrate any future disputes with Lamps Plus as a condition of employment. [read post]
25 Feb 2014, 6:19 am
Defendants will likely want to use the decision to argue against granting a jury trial in Dodd-Frank whistleblower cases. [read post]
9 Sep 2010, 12:32 pm
Reversing a number of federal court decisions, 922(c) explicitly grants employees the right to a jury trial but Goldsmith does not think the provision is retroactive. [read post]
28 Jan 2009, 5:21 pm
This is the only thing that stood out to me, so take it for what it's worth.]Frank Trinidad v. [read post]
21 Jul 2014, 1:30 pm
Thus far, the SEC has issued six orders granting awards to whistleblowers, but it is expected there will be large whistleblower awards issued in the near future as the SEC Office of the Whistleblower processes more claims filed under the Dodd-Frank whistleblower provisions. [read post]
24 Jan 2018, 8:41 am
After the district court granted summary judgment in favor of Orion, Verfuerth appealed to the Seventh Circuit. [read post]
20 Sep 2023, 12:35 pm
The clawback policy could apply to incentive compensation awards that were granted in prior year. [read post]
18 Jul 2011, 1:08 pm
NOTE: A previous Connecticut administrative order from October 14, 1997 granting the de minimis exemption under Section 203(b)(3) of the Investment Advisers Act of 1940 for certain investment advisers is repealed, effective July 21, 2011 because the federal de minimis exemption under Section 203(b)(3) is, itself, repealed by the Dodd-Frank Act on July 21.The following investment advisers are exempt from registration in Connecticut under Ct. [read post]
