Search for: "FRANK GRANT"
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25 Jul 2011, 3:35 am
The SEC's Report on Credit Ratings Reliance On Thursday, the SEC issued this 24-page report on the reliance on credit ratings, as required by Section 939A(c) of Dodd-Frank [read post]
25 Jul 2011, 2:00 am
SEC Adopts Final Rules Implementing Whistleblower Provisions of Dodd-Frank. [read post]
25 Jul 2011, 1:55 am
” The court granted the business groups’ petition and vacated the SEC rules. [read post]
24 Jul 2011, 3:05 pm
A no-enforcement action letter request was granted by the Missouri Securities Division for a Missouri investment adviser to 3(c)(1) funds under the Investment Company Act of 1940. [read post]
24 Jul 2011, 12:00 pm
For example, it is unfortunate hat Dodd-Frank failed to roll back the special treatment in bankruptcy that repurchase agreements backed by mortgage-related collateral were granted in 2005. [read post]
20 Jul 2011, 5:56 pm
A copy of that notice was also mailed to Special Agent in Charge Frank Montoya in Honolulu, Hawaii. (70103090000) and (9410803699300019474252). [read post]
20 Jul 2011, 1:26 pm
Specifically, the Virginia statement recognizes and addresses the "regulatory gap" created by the SEC Rule 203-1(e), which grants an extension to March 30 2012 for private advisers formerly exempt from registration under Investment Adviser Act Section 203(b)(3), which was repealed by Dodd-Frank, to register with the SEC. [read post]
20 Jul 2011, 10:19 am
Massachusetts started using the software after receiving a $1.5 million grant from the U.S. [read post]
19 Jul 2011, 7:08 pm
You heard it here first: the financial regulators should treat the Dodd-Frank legislation as repealed. [read post]
19 Jul 2011, 3:31 pm
Yet McCourt, like all owners, agreed to grant Selig broad powers — including the right to approve television contracts and strip an owner of his team upon a bankruptcy filing. [read post]
19 Jul 2011, 11:00 am
The community began the grant application process about a year ago. [read post]
18 Jul 2011, 3:46 pm
A copy of that notice was also mailed to Special Agent in Charge Frank Montoya in Honolulu, Hawaii. (70103090000) and (9410803699300019474252). [read post]
18 Jul 2011, 1:08 pm
NOTE: A previous Connecticut administrative order from October 14, 1997 granting the de minimis exemption under Section 203(b)(3) of the Investment Advisers Act of 1940 for certain investment advisers is repealed, effective July 21, 2011 because the federal de minimis exemption under Section 203(b)(3) is, itself, repealed by the Dodd-Frank Act on July 21.The following investment advisers are exempt from registration in Connecticut under Ct. [read post]
18 Jul 2011, 6:06 am
The policy indicated that the Nissan was owned by Floyd Grimes and his brother, Frank Grimes. [read post]
15 Jul 2011, 9:54 am
.), Frank Wolf (Va.) and Charles Dent (Pa.). [read post]
15 Jul 2011, 5:00 am
The court also had concern over the retroactive application of the penalty provision in Dodd-Frank. [read post]
15 Jul 2011, 12:33 am
Today, we are granting temporary relief from certain provisions that would otherwise apply to swaps or swap dealers on July 16,” said Chairman Gensler. [read post]
13 Jul 2011, 3:43 pm
Grace's past work, wholly endorse this judgment from Frank Bruni on Nancy Grace: "She doesn’t serve the cause of victims with such histrionics. [read post]
13 Jul 2011, 12:14 pm
The Proposed CFTC Order Title VII of Dodd-Frank grants the CFTC authority to regulate the “swaps” markets and certain participants in these markets. [read post]
13 Jul 2011, 8:58 am
But these differences only grant a search engine more room to innovate. [read post]
