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25 Mar 2016, 1:14 pm
The SEC obtained a court order to freeze the assets of Frank Mazzola and his wife, a relief defendant, and ordering the appointment of an independent monitor over Saddle River Advisors, SRA Management, the SRA Funds, and other affiliated entities. [read post]
19 Mar 2012, 1:38 pm
In its order approving the acquisition, the Board reaffirmed its test for determining financial stability in light of the new criteria required by Dodd-Frank to the analysis of expansion applications pursuant to the Bank Holding Company Act (12 U.S.C. [read post]
19 Oct 2011, 9:13 pm
Kristof explains, “The banks have gotten away with privatizing profits and socializing risks, and that’s just another form of bank robbery. [read post]
2 Sep 2022, 6:30 am
Securities and Exchange Commission, on Friday, August 26, 2022 Tags: Dodd-Frank Act, Executive Compensation, Incentives, Pay for performance, Performance measures, SEC, SEC rulemaking, Securities regulation Statement by Chair Gensler on Final Rule Regarding Pay Versus Performance Posted by Gary Gensler, U.S. [read post]
21 Dec 2010, 8:20 am
They put powerful weapons in the arsenal of the FDIC and those who buy loans from failed bank receiverships. [read post]
28 Jan 2012, 2:19 pm
We have better tools now, thanks to Dodd-Frank. [read post]
18 Jun 2018, 6:41 am
This post is based on a Fried Frank publication by Mr. [read post]
25 Sep 2012, 8:41 am
Dodd-Frank requires the drafting of over 300 new regulations that will apply to banks and other financial firms. [read post]
18 Dec 2019, 6:08 am
This post is based on his Fried Frank memorandum. [read post]
13 Jul 2012, 8:59 am
Moran is a member of the Senate Banking Committee and the ranking Republican on the appropriations subcommittee that oversees the CFTC’s budget. [read post]
19 Oct 2012, 2:00 am
In this post, Deal Professor Steven Davidoff examines the other options and says repealing the Dodd-Frank Act won’t end “too big to fail” banks, and it may even make things worse. 2) The Conglomerate: Pandit, Citi and Shadow Banking - Just before his shocking resignation, Citi’s Vikram Pandit gave a speech in which he criticized federal regulators for not addressing the shadow banking system. [read post]
25 Mar 2015, 4:09 am
Caulkett and Bank of America v. [read post]
15 Jul 2010, 8:34 am
Now, however, a new form of antitrust arrives – in the form of the Kanjorski Amendment, whose language was embedded in the Dodd-Frank bill. [read post]
12 Sep 2011, 10:32 am
Regulatory Fights within the Financial Sector For some of the vast number of Dodd-Frank rulemakings, there will be more cohesive industry groups on both sides of a fight. [read post]
16 Dec 2015, 8:57 am
As a result, tens of thousands of consumers incurred fees from their banks, making it even harder to climb out of debt when behind on payment. [read post]
11 Sep 2007, 8:34 pm
You see, since an ILC is not a "bank" under the Bank Holding Company Act, it's holding company is not a "bank holding company" or a "financial holding company" under the GLBA. [read post]
23 Feb 2009, 5:00 am
Plaid Cymru AM Chris Franks, who requested the information under the Freedom of Information Act, said it was a "surprising level" of abuse. [read post]
14 Apr 2011, 8:16 am
The Dodd-Frank Requirements and the State of Play Sections 731 and 764 of Dodd-Frank require regulators to adopt rules setting capital and margin requirements for uncleared swaps for swap entities (swap dealers and major swap participants) and security-based swap entities (security-based swap dealers and major security-based swap participants). [read post]
7 Mar 2016, 9:30 pm
Following the last financial crisis, Congress passed the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), which defines and limits the activities of certain financial firms. [read post]
24 Jun 2011, 11:52 am
TDBankorder(function() { var scribd = document.createElement("script"); scribd.type = "text/javascript"; scribd.async = true; scribd.src = "http://www.scribd.com/javascripts/embed_code/inject.js"; var s = document.getElementsByTagName("script")[0]; s.parentNode.insertBefore(scribd, s); })();The latest Rothstein news comes from Judge Cooke, who denied TD Bank's motion to stay a civil suit pending before her on the grounds that TD's former… [read post]
