Search for: "William R. Dodds"
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15 Aug 2014, 5:00 am
The trial court judge, William H. [read post]
28 Nov 2011, 8:57 am
Regard this proposed fiduciary standard rule, Shepherd Smith Edwards and Kantas founder and stockbroker fraud lawyer William Shepherd said: “The goal is to lower the duties of Wall Street. [read post]
26 Mar 2008, 8:31 am
(I dropped my endorsement of Chris Dodd as a result.) [read post]
1 Mar 2017, 6:00 am
The big change was Dodd-Frank that excluded primary residence from the net worth calculation. [read post]
16 Dec 2016, 1:00 am
Posted by William C. [read post]
17 Jun 2014, 11:19 pm
© Thomas R. [read post]
13 Jul 2010, 5:21 am
(Alan Parness first pointed this out on Broc Romanek's blog, and Joe Wallin, Marcus Williams and I blogged about this point here and on Joe's blog.) [read post]
16 Dec 2011, 7:05 pm
Referring to these latest securities actions, Massachusetts Secretary of the Commonwealth William Galvin said that they show the state’s willingness to go after investment advisers that have violated securities laws. [read post]
31 May 2012, 11:46 am
The two regulators have partially attributed this to the Dodd-Frank Wall Street Reform and Consumer Protection Act, which doesn’t authorize self-funding despite the fact that SEC Chairman Mary Schapiro, past SEC chairmen, certain senators, and securities lawyers had pressed for it. [read post]
15 Feb 2011, 8:32 am
The staff report accompanying its study on enhancing the examination of investment advisers (another study mandated by Congress through Dodd-Frank) offered three alternatives to provide the SEC with additional examiners and financing to meet the examination enhancement mandate Dodd-Frank imposed upon the SEC. [read post]
23 Dec 2016, 1:00 am
Eisenberg, K&L Gates LLP, on Monday, December 19, 2016 Tags: Accounting, Asset management, Broker-dealers, Conflicts of interest, Disclosure, Dodd-Frank Act, FCPA, Fiduciary duties, Hedge funds, Insider trading, Investment advisers, Private equity, SEC, SEC enforcement, Securities enforcement A New Administration: Change and Continuity in Securities Regulation Posted by William McLucas & Harry Weiss, Wilmer Cutler Pickering Hale and Dorr LLP, on Monday, December 19,… [read post]
12 Mar 2012, 8:13 am
Taft & William J. [read post]
26 May 2010, 7:02 am
Sadly, the Dodd bill just makes things worse. [read post]
2 Jan 2014, 4:28 pm
William Watson, “Republicans and Media Confused about Fast Track,” Cato Institute Blog, November 14, 2013: http://www.cato.org/blog/republicans-media-confused-about-fast-trackK. [read post]
9 Jul 2021, 7:07 am
As Chair of the CFTC, Gensler stood up for the agency’s derivatives and swaps reforms under the Dodd-Frank Act. [read post]
10 Jan 2010, 12:54 pm
Senator Chuck Schumer (D-NY) and Senator Michael Crapo (R-Idaho) are working on the corporate governance title. [read post]
7 Sep 2018, 6:14 am
Posted by Ben Burney, Exequity, LLP, on Tuesday, September 4, 2018 Tags: Compensation disclosure, Compensation ratios, Dodd-Frank Act, Executive Compensation, Firm performance, Pay for performance Insider Tax Effects on Acquisition Structure and Value Posted by Michelle Hanlon (MIT), Rodrigo S. [read post]
19 Nov 2019, 2:23 pm
Background regarding the SEC Whistleblower Program Section 922 of the Dodd-Frank Act created the SEC’s whistleblower program. [read post]
10 Mar 2018, 5:10 pm
SCOTUS denies Dodd-Frank protections to internal whistleblowers. [read post]
22 Jul 2016, 6:10 am
Securities and Exchange Commission and Zhaodong (Ken) Zhong, Rutgers Business School, on Sunday, July 17, 2016 Tags: Capital markets, CFTC, Credit default swaps, Derivatives, Dodd-Frank Act, Financial reform, Financial regulation,Liquidity, OTC derivatives, Reporting regulation, Transparency Empire of the Fund: The Way We Save Now Posted by William Birdthistle, Chicago-Kent College of Law, on Monday, July 18, 2016 Tags: ERISA, Financial regulation, Institutional Investors,… [read post]
