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16 Dec 2011, 7:05 pm
Referring to these latest securities actions, Massachusetts Secretary of the Commonwealth William Galvin said that they show the state’s willingness to go after investment advisers that have violated securities laws. [read post]
13 Jul 2010, 5:21 am
(Alan Parness first pointed this out on Broc Romanek's blog, and Joe Wallin, Marcus Williams and I blogged about this point here and on Joe's blog.) [read post]
11 Apr 2011, 12:12 pm
Dodd, 111 Wn.2d 174, 178-79, 759 P.2d 455 (1988); Taylor v. [read post]
4 Mar 2011, 5:25 am
Thusly, as reported here, yesterday, William Cheney of the Credit Union National Association, appeared and testified before Congress regarding the impact that new Dodd-Frank regulations, including reductions in debit card fees, would have on what was characterized as a segment of the industry that serves 92 million Americans, and that had little to do with the financial crisis. [read post]
20 Nov 2015, 6:09 am
by William Carleton in Counselor @ Law The theme of the new SEC guidance is this: a “pre-existing, substantive relationship” can be a terrific antidote to the virus4 of “general solicitation. [read post]
10 Dec 2013, 4:27 am
Thanks to Hunton & Williams' Scott Kimpel for his wisdom! [read post]
15 Aug 2014, 5:00 am
The trial court judge, William H. [read post]
25 Oct 2017, 3:00 am
Now, it looks like resolution of that issue will have to wait for another day – this Hunton & Williams memo says that the parties to Leidos v. [read post]
28 Nov 2011, 8:57 am
Regard this proposed fiduciary standard rule, Shepherd Smith Edwards and Kantas founder and stockbroker fraud lawyer William Shepherd said: “The goal is to lower the duties of Wall Street. [read post]
3 Nov 2022, 6:32 am
This rulemaking also will require institutional investment managers to disclose how they voted on “say-on-pay” matters, which fulfills the mandate under section 951 of the Dodd-Frank Act of 2010. [read post]
31 May 2012, 11:46 am
The two regulators have partially attributed this to the Dodd-Frank Wall Street Reform and Consumer Protection Act, which doesn’t authorize self-funding despite the fact that SEC Chairman Mary Schapiro, past SEC chairmen, certain senators, and securities lawyers had pressed for it. [read post]
26 Mar 2008, 8:31 am
(I dropped my endorsement of Chris Dodd as a result.) [read post]
1 Mar 2017, 6:00 am
The big change was Dodd-Frank that excluded primary residence from the net worth calculation. [read post]
27 Sep 2016, 2:00 pm
He was sent with that same task but why is Paul Revere famous in American history and William Dodd is a relative unknown? [read post]
31 Dec 2014, 2:35 pm
With the help of Rebecca Zietlow, we were able to assemble a great New Voices panel that includes Deborah Dinner, Lynda Dodd, and Mary Ziegler. [read post]
29 Apr 2016, 6:10 am
Peregrine & William P. [read post]
3 Jan 2008, 11:08 am
Thanks for voting ... for a Democrat....UPDATE #15: Dodd drops out. [read post]
16 Dec 2016, 1:00 am
Posted by William C. [read post]
24 Aug 2023, 6:32 am
Endnotes 1Section 913(g)(2) of the Dodd-Frank Act added section 211(h) to the Advisers Act. [read post]
5 May 2017, 6:14 am
Lowson, Global ESG Regulatory Academy, on Sunday, April 30, 2017 Tags: Capital markets, Climate change, Disclosure, Dodd-Frank Act, Donald Trump, Environmental disclosure, ESG, Financial regulation, Financial reporting, FSB, FSOC, SEC, SEC enforcement, SEC rulemaking, Securities regulation, Sustainability, US House Delaware Law Amendments and the Maintenance of Corporate Records via Blockchain Posted by Allison L. [read post]
