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7 Feb 2011, 9:36 am
(On a related note, Frank Rich's column yesterday described the ridiculous over-hyping of the role of Twitter and Facebook in the various uprisings in the Middle East over the past few years. [read post]
5 Feb 2011, 7:14 pm by James Hamilton
Section 929P granted the Commission authority to impose civil money penalties in all cease-and-desist (C&D) proceedings. [read post]
4 Feb 2011, 9:00 am by Doug Cornelius
11:45 – 12:40 Panel:  Effective and appropriate marketing materials - Consider your audience – presentation to existing LPs, prospective LPs and portfolio companies - Making sure that presentations are reviewed by compliance - Interpreting rules governing marketing and advertising - Web sites and other marketing materials - Guidelines regarding talking to the press 12:40-1:15 Panel: Regulatory issues beyond Dodd Frank - FCPA and UK Bribery Act compliance 1:15 – 2:15… [read post]
4 Feb 2011, 7:35 am by William Carleton
The first recounts (a) what happened last spring, (b) the upshot with the passage of Dodd-Frank, and (c) where we are likely to be for the next four years, particularly given what the SEC signaled last week. [read post]
30 Jan 2011, 2:35 pm by lsico
One of the consequences of the Dodd-Frank Act is that federal and state jurisdiction over investment advisor firms will change. [read post]
29 Jan 2011, 9:16 am by Jeff Gamso
Quinn still hasn't decided what to do about signing the abolition bill in Illinois.Ohio still plans to murder Frank Spisak on Feb. 17. [read post]
28 Jan 2011, 4:47 am
In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Reform Act") and its own October 2010 proposed rules (Release No. 33-9153) (the "Proposed Rules"), the Securities and Exchange Commission (the "SEC") on January 25, 2011 announced its adoption by a 3-2 vote of final regulations for shareholder advisory votes on executive compensation ("Say-on-Pay") and golden parachute compensation (Release No. 33-9178) (the… [read post]
27 Jan 2011, 1:00 pm by Tiffany Chiao
f=/c/a/2010/12/23/BAV11GUFRV.DTL “The expression in legal analysis is ‘overbroad,’” said UC Berkeley law Professor Frank Zimring. [read post]