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12 Apr 2012, 7:38 pm by Kevin Funnell
With so much of our recent banking policy, including the bailout programs and Dodd-Frank, having been quickly implemented and, in the case of Dodd-Frank, shoved down the throats of its opponents, taking the time to think through radical change BEFORE it's implemented might be worth a try, notwithstanding the fact that such a modus operandi flies in the face of the Pelosian Theorem ("You have to pass the bill before you can know what's in it! [read post]
12 Apr 2012, 11:56 am by Kim Krawiec
" I thus had no intention of complimenting Congress for its work in Dodd-Frank. [read post]
12 Apr 2012, 4:16 am by Broc Romanek
Corp Fin Issues '34 Act Registration & Deregistration FAQs Yesterday, Corp Fin issued 5 FAQs regarding Section 12(g) registration triggers and, for banks and bank holding companies, the Section 12(g) and Section 15(d) deregistration and cessation of reporting triggers. [read post]
11 Apr 2012, 4:15 pm by Ted Allen
National Australia Bank (2010) ruling that significantly limited the ability of investors to sue foreign companies in American courts. [read post]
10 Apr 2012, 2:15 pm by Kim Krawiec
  As a bit of background, prior to coming to Duke for an LL.M., Shin spent six years at Deutsche Bank, Shinsei Bank, and Morgan Stanley (all in Tokyo). [read post]
10 Apr 2012, 7:19 am by Richard J. Andreano, Jr.,
Various concepts noted by the CFPB already exist under current law and/or in the mortgage provisions of the Dodd-Frank Act. [read post]
7 Apr 2012, 6:13 am by BuckleySandler
  While the FSOC can designate nonbanks as systemically important, it can only do so with regard to nonbank financial companies that are predominantly engaged in financial activities which, under Section 102 of the Dodd-Frank Act, means that  85 percent or more of the company’s revenues or assets are related to financial activities, as defined in section 4(k) of the Bank Holding Act. [read post]
6 Apr 2012, 12:45 pm by Bonnie Harris
As we have with other banks, we are available to advise you on questions you may have regarding your loan originators’ participation in qualified plans. [read post]
6 Apr 2012, 11:57 am by Erin F. Siegfried
·         Exemption from the “say on pay” provisions of the Dodd-Frank Act. [read post]
6 Apr 2012, 10:22 am by James Hamilton
H1551)Requiring end-users to be subject to a mandatory margin requirement basically forces commercial entities to act like banks, said Rep. [read post]
6 Apr 2012, 3:40 am by William Carleton
Right now, you can only turn to a limited group of investors -- including banks and wealthy individuals -- to get funding. [read post]
5 Apr 2012, 1:57 pm by James Saksa
  By one professor’s calculations, 94% of companies (excluding banks, savings and loans, and IPOs involving units) that went public between 1980 and 2011 had under $1 billion dollars in annual revenue. [read post]
5 Apr 2012, 12:34 pm by James Hamilton
Everybody who goes public would be subject to the full panoply of regulations within 5 years or sooner if they grow fasterFor example, the Jumpstart Our Business Startups Act defers compliance with two Dodd-Frank Act corporate governance provisions: an advisory shareholder vote on executive compensation and the disclosure of the median compensation of all employees compared to the CEO. [read post]
4 Apr 2012, 8:30 am by Jan Dalhuisen
For payment through the banking system, again we need not concern ourselves with the validity of all intermediate instructions. [read post]
4 Apr 2012, 7:42 am by Mark S. Nelson
Dodd-Frank Act Section 113 provides that the FSOC may determine that a U.S. nonbank financial company must be supervised by the Fed. [read post]