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22 Jul 2013, 5:00 am
The “bad actor” rule was mandated by Dodd-Frank. [read post]
20 Jul 2013, 8:20 pm
Senator Mark Warner (D-VA), a key member of the Banking Committee, is co-sponsoring the bill, along with the Committee’s Ranking Member Senator Larry Crapo (R-ID). [read post]
20 Jul 2013, 9:48 am
Commissioner Nominees On Thursday the Senate Banking Committee unanimously voted to confirm Commissioner nominees Kara M. [read post]
16 Jul 2013, 5:05 pm
The SEC originally proposed rule amendments to implement Section 926 of the Dodd-Frank Act on May 25, 2011. [read post]
16 Jul 2013, 6:57 am
On July 2, 2013, the Board of Governors of the Federal Reserve System (the “FRB”) unanimously approved final rules (the “Final Rules”) establishing a new comprehensive capital framework for U.S. banking organizations [1] that would implement the Basel III capital framework [2] as well as certain provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”). [read post]
15 Jul 2013, 5:16 pm
In the same meeting, the SEC issued a final rule implementing the proposed “bad actor” rule pursuant to the Dodd-Frank Act, about which I have previously expressed some concerns (as well as the Angel Capital Association). [read post]
13 Jul 2013, 10:46 pm
Senator Mark Warner (D-VA), a key member of the Banking Committee, is co-sponsoring the bill, along with the Committee’s Ranking Member Senator Larry Crapo (R-ID). [read post]
12 Jul 2013, 6:00 pm
In addition, the SEC amended Rule 506, as required by the Dodd-Frank Act, to disqualify felons and other bad actors from being able to rely on Rule 506. [read post]
11 Jul 2013, 6:00 am
Antonakes’ assertions that the CFPB’s data collection practices are the same as those of the bank regulatory agencies. [read post]
11 Jul 2013, 4:53 am
A Blast from the Past: The Rule 506 Bad Actor Disqualification Provisions As part of the overall package of rulemaking yesterday, the SEC followed the suggestion of some commenters on the Title II rules and adopted the Dodd-Frank Act mandated bad actor disqualification provisions. [read post]
1 Jul 2013, 4:31 am
Far from expressing any concern about the OCC’s and FDIC’s usurpation of the CFPB’s authority to adopt consumer credit regulations under Dodd-Frank and federal consumer credit laws, including the Truth in Lending Act, the letter supports an OCC and FDIC initiative to adopt UDAAP rules and additionally recommends that the OCC adopt, in effect, a TILA rule that would require banks to make a closed-end APR disclosure for an open-end loan. [read post]
27 Jun 2013, 8:34 am
Indeed, he noted that the Dodd-Frank Act codifies the TBTF doctrine. [read post]
26 Jun 2013, 4:00 am
MishkinWhen he appeared before the Senate Banking Committee on April 23, Director Cordray was questioned by Republican Senators about reports that the CFPB was demanding voluminous amounts of information from banks it supervises related to financial products and services and buying data from vendors about various financial products and services. [read post]
25 Jun 2013, 3:48 pm
In Franks, etc. v. [read post]
24 Jun 2013, 12:58 pm
As just one example, the government began a comprehensive investigation of Frank Quattrone for investment capital mismanagement. [read post]
21 Jun 2013, 6:00 am
Chamber of Commerce to the CFPB claiming that the Bureau’s data collection efforts do not comply with the Dodd-Frank Act. [read post]
19 Jun 2013, 5:08 am
In SIFMA’s view, such a move would be an abdication of U.S. leadership, would undermine uniform global capital standards, and actually increase systemic risk by driving more business outside the U.S.and into the shadow banking sector.The Dodd-Frank Act set forth a framework that would effectively address too-big-to-fail through new, heightened prudential and capital standards, said SIFMA, and the focus should be on completing the remaining rulemakings mandated by… [read post]
18 Jun 2013, 1:15 am
ICYMI: SEC Make Second Whistleblower Award: On June 12, 2013, the SEC made its second award under the Dodd-Frank whistleblower provisions. [read post]
17 Jun 2013, 11:15 am
The property had the National Bank of Greece as its tenant.In his developer days, Malamas got into a dispute with the occupant bank and sued it for rent arrears and damages for breach of the lease.In the coming years, he sued virtually all of the lawyers who represented him in that litigation and other cases he came to be involved in. [read post]
16 Jun 2013, 11:26 am
Legislative history indicates that Dodd-Frank intended to exempt end-users from margin requirements. [read post]
