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23 Jan 2013, 12:32 am
-The rise in whistleblower tips and enforcement activity resulting from implementation of the Dodd-Frank Act. [read post]
14 Sep 2010, 10:02 am
Senator Kay Hagan (D-NC) was pleased to see that the Volcker Rule as modified by the Dodd-Frank Act will permit banking entities several years to bring their full range of activities into conformance with the new rule. [read post]
23 Jun 2008, 4:29 am
SUBPRIME SIX UPDATE (CONT'D): Here's another piece on Chris Dodd and Countrywide from the Hartford Courant. [read post]
16 Mar 2010, 7:00 am
Regulation D Offerings Separately in the bill, Senator Dodd is proposing to tinker with exemption from registration under Rule 506. [read post]
18 May 2010, 4:54 am
One of these was an amendment from Senators Dodd and Bond that subsumed the amendment that I blogged about yesterday that seeks to preserve Regulation D and Rule 506, as noted in this BusinessWeek article. [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]
10 Nov 2010, 5:53 am
" Senator Dodd himself was a co-sponsor. [read post]
29 Jan 2009, 11:59 am
” It's been over seven months since it was revealed that Senate Banking Committee chairman Christopher Dodd (D., Conn.) got a sweetheart deal on his Washington, D.C., townhouse directly from Angelo Mozilo, the CEO of troubled subprime-mortgage lender Countrywide Financial. [read post]
12 Jun 2011, 9:37 pm
The SEC last month, as required by the Dodd-Frank Act of 2010, proposed that all Regulation D private offerings be subject to disqualification if so called “bad actors” are involved. [read post]
29 May 2018, 3:00 am
You’d better have the Senate Banking Committee on your resume. [read post]
29 Jan 2012, 12:44 pm
Gwen Moore (D-WI) designed to prevent entities from using the inter-affiliate swap exemption to evade Dodd-Frank derivatives regulation was agreed to by voice vote. [read post]
2 Mar 2011, 9:01 am
Woodlock decided that the court (D Mass), rather than a FINRA arbitration panel, had subject matter jurisdiction over a whistleblower claim and denied a defense motion to compel arbitration.Section 922 of the Dodd-Frank Act added new subsection (e) to Sarbanes-Oxley Act Section 806 to ban pre-dispute arbitration agreements concerning civil whistleblower claims. [read post]
3 Apr 2012, 4:44 pm
Gwen Moore (D-WI), Cong. [read post]
21 Jul 2011, 11:04 am
The staffs of the SEC and the CFTC will hold a joint public roundtable on August 1 to discuss international issues related to the implementation of Title VII of the Dodd-Frank Act. [read post]
11 Jul 2019, 6:00 am
On the floor, House Financial Services Committee Chairwoman Maxine Waters (D-Calif) emphasized that Congress, in drafting the Dodd-Frank Act, did not intend the result reached by the Supreme Court in Somers and that lawmakers did not wish to discourage whistleblowers from reporting to their employers. [read post]
2 Nov 2010, 1:59 am
Given the high likelihood of future Dodd Frank whistleblower claims, the review of the applicable D&O insurance policy language, seems like a critical next step. [read post]
7 Jul 2010, 6:13 am
Douglas, Randall D. [read post]
1 May 2017, 4:15 pm
appeared first on The D&O Diary. [read post]
13 Jul 2013, 10:46 pm
Senators Mike Johanns (R-NE) and Jon Tester (D-MT.) are leading a bipartisan coalition of Senators in introducing a bill to codify the Dodd-Frank Act derivatives end-user exemption for non-financial commercial companies that use derivatives to manage their risk and insure against extreme price fluctuations for commodities critical to their business operations. [read post]
20 Jul 2013, 8:20 pm
Senators Mike Johanns (R-NE) and Jon Tester (D-MT.) are leading a bipartisan coalition of Senators in introducing a bill to codify the Dodd-Frank Act derivatives end-user exemption for non-financial commercial companies that use derivatives to manage their risk and insure against extreme price fluctuations for commodities critical to their business operations. [read post]
