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28 Sep 2010, 11:18 am
” The New York Times DealBook Blog. 26 July 2010. http://dealbook.blogs.nytimes.com/2010/07/26/come-blow-your-horn-to-the-s-e-c/. [read post]
27 Sep 2010, 8:54 pm
Joan C. [read post]
27 Sep 2010, 3:34 am
(C) My third example is the electoral college system of selecting the president, which has the same effect as the Senate in overempowering states with tiny populations. [read post]
25 Sep 2010, 8:43 am
Can you spell M A L P R A C T I C E! [read post]
23 Sep 2010, 8:59 pm
.* Defendant’s Franks challenge to his wiretap failed because the statements weren’t false. [read post]
21 Sep 2010, 5:00 am
The SEC published their agenda for the implementation of Dodd-Frank. [read post]
20 Sep 2010, 10:08 am
If such an adviser does not have $150 million of assets under management and provides advice exclusively to those private funds that rely on either Section 3(c)(1) or Section 3(c)(7), it would not have to register with the SEC. [read post]
18 Sep 2010, 5:56 am
On September 15, the SEC adopted some rule amendments to conform with changes made in the Sarbanes-Oxley Act by the Dodd-Frank Act of 2010. [read post]
17 Sep 2010, 9:28 am
Castaldi C. [read post]
17 Sep 2010, 2:26 am
Defendant failed in a Franks challenge to show a knowing or reckless falsity. [read post]
16 Sep 2010, 3:25 pm
The SEC adopted amendments to its rules and forms to conform them to Section 404(c) of the Sarbanes-Oxley Act of 2002 (the “Sarbanes-Oxley Act”), as added by Section 989G of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the... [read post]
16 Sep 2010, 3:25 pm
The SEC adopted amendments to its rules and forms to conform them to Section 404(c) of the Sarbanes-Oxley Act of 2002 (the “Sarbanes-Oxley Act”), as added by Section 989G of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the... [read post]
16 Sep 2010, 10:06 am
All of Dodd-Frank meets the first four criteria. [read post]
16 Sep 2010, 5:32 am
Dodd-Frank: SEC Adopts Internal Controls Amendments to Exclude Smaller Companies Yesterday, the SEC posted this adopting release with amendments to its internal controls rules and regulations to conform them to Section 404(c) of Sarbanes-Oxley, as modified by Section 989G of Dodd-Frank, to state that 404(c) doesn't apply to companies that are neither an accelerated filer nor a large accelerated filer. [read post]
16 Sep 2010, 1:34 am
An officer investigating a suspected drug deal directed appellant Frank Wiggins from a car, ordered him to raise his hands high overhead, and then discovered a handgun in his pocket when she hoisted up his sagging pants that had dropped to hang around his knees. [read post]
15 Sep 2010, 5:03 pm
Previous SEC rules required a non-accelerated filer to include an attestation report in its annual report for years ending on or after June 15, 2010.Section 989G of the Dodd-Frank Act added SOX Section 404(c) to exempt from the attestation requirement smaller issuers that are neither accelerated filers nor large accelerated filers under Rule 12b-2. [read post]
15 Sep 2010, 6:04 am
Bennett"The preclusive effect of an arbitration award Samuel Estreicher And Steven C. [read post]
14 Sep 2010, 2:34 pm
[5] Michael C. [read post]
14 Sep 2010, 10:02 am
Senator Kay Hagan (D-NC) was pleased to see that the Volcker Rule as modified by the Dodd-Frank Act will permit banking entities several years to bring their full range of activities into conformance with the new rule. [read post]
13 Sep 2010, 1:19 pm
Sullivan & Cromwell Partner and Practice Center Contributor Frank Aquila recently sent along a memo prepared by his S&C colleagues that discusses a recent joint request for comment issued by the four federal banking agencies. [read post]
