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10 Oct 2012, 9:30 am
Attorneys Office of the Southern District of New York on Tuesday against Wells Fargo Bank, N.A. [read post]
5 Oct 2012, 9:12 am
Three states have joined a lawsuit to challenge the constitutionality of the Financial Stability Oversight Council (FSOC), a Dodd-Frank-created regulatory body headed by the Treasury secretary. [read post]
3 Oct 2012, 10:32 am
Last week, the exchanges proposed rules to implement the independence requirements for compensation committees required under Dodd-Frank. [read post]
3 Oct 2012, 6:30 am
Money transfers to Mexico alone, for example, were an estimated $24 billion in 2011, according to the World Bank. [read post]
28 Sep 2012, 2:24 pm
"Accredited Investor" Defined The SEC's regulations identify eight types of accredited investors, including certain types of banks, trusts, and other business entities. [read post]
28 Sep 2012, 9:14 am
Roberta is formerly general counsel of Advanta Bank and senior counsel of PNC Bank, N.A., and has held numerous leadership roles in the American Bar Association, including Chairperson of the International Subcommittee of the Consumer Financial Services Committee. [read post]
25 Sep 2012, 1:01 pm
” Read this entire article for free, activate your free 15 day trial access to Banking Report now. [read post]
25 Sep 2012, 12:22 pm
This is the same reason that in developing the Dodd-Frank whistleblower program, the U.S. [read post]
25 Sep 2012, 10:03 am
Under the False Claims Act and the Dodd-Frank law, whistleblowers who file “qui tam” cases or file claims with the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) not only receive monetary rewards if there is a recovery but also job protection. [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]
24 Sep 2012, 9:53 am
District Court for the District of Columbia by a Texas community bank, the Competitive Enterprise Institute and the 60 Plus Association, challenging the constitutionality of the Dodd-Frank Act, in complaining that it gives the government too much power to take over and liquidate nonbank companies whose failure would [read post]
21 Sep 2012, 4:32 pm
The bill also no longer has “blanket exemptions” to its definition of a municipal advisor, including the categorical language stating that broker-dealers, banks, and municipal securities dealers are not municipal advisors. [read post]
20 Sep 2012, 6:17 am
In contrast to the US rules, the EU is also proposing to include the forestry industry, banking, construction and telecommunication sectors, but on a less detailed level than those for extractive industries. [read post]
18 Sep 2012, 10:00 pm
It discusses the IRS Whistleblower Program, the new SEC Whistleblower program and some relevant Dodd-Frank whistleblower provisions. [read post]
17 Sep 2012, 12:48 pm
In addition to heading to the bank, McCourt is reportedly heading back to a California courtroom. [read post]
14 Sep 2012, 9:45 am
The proposed rule highlights one of several provisions of the Dodd-Frank Act (“DFA”) authorizing the CFPB to examine and supervise nonbank “covered persons. [read post]
13 Sep 2012, 7:26 pm
Birkenfeld, who is from Massachusetts, had worked in Swiss banking for 15 years. [read post]
13 Sep 2012, 9:50 am
Conservative super PAC Prosperity First is bankrolled by wealthy hedge fund CEO Robert Mercer, whose firm has lobbied against the Dodd-Frank financial reform law passed in the wake of the 2008 collapse of the banking and real estate industries.” [read post]
13 Sep 2012, 7:07 am
She speaks of frustrations of going to VCs and getting the runaround and shifting criteria, and the dead end of going to a bank. [read post]
12 Sep 2012, 3:57 pm
The full House Financial Services Committee has approved bi-partisan legislation clarifying that Section 975 of the Dodd-Frank Act requiring municipal advisors to register with the SEC does not include dealers, banks, investment advisers and members of municipal governing bodies, and others who were either already regulated before the enactment of Dodd-Frank or are appointed, volunteer public servants. [read post]
