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19 Apr 2011, 3:36 pm
The SEC is accusing Gupta of sharing with Rajaratnam details about the respective quarterly earnings of the investment bank and Proctor and Gamble, where Gupta also served as a director. [read post]
18 Jul 2010, 3:33 pm
The House-Senate conference committee struck a compromise, vetted by Senator Tim Johnson, a senior member of the Banking Committee, under which the SEC will conduct a study under what Senator Johnson called strict parameters and the SEC is also authorized to impose a uniform federal fiduciary standard on brokers and investment advisers.On the day the Senate passed Dodd-Frank, Senator Johnson said that Section 913 reflects a compromise between the House and Senate provisions on the… [read post]
17 Sep 2018, 9:10 am
Supreme Court by State National Bank of Big Spring which, together with two D.C. area non-profit organizations that also joined in the petition, had brought one of the first lawsuits challenging the CFPB’s constitutionality. [read post]
10 Dec 2014, 7:37 pm
Section 716 might be thought of as the "Banks Aren't Casinos" provision of Dodd-Frank. [read post]
4 Jan 2012, 11:14 am
Reacting to the recess appointment, Senator Richard Shelby (R-ALA), Ranking Member on the Banking Committee, said that the President did an end run around Congress, the elected representatives of the American people, in order to avoid accountability to them. [read post]
18 Nov 2011, 3:23 pm
The blog is edited by Frank Sheeder and Rebecca Jones McKnight, who are members of the Health Care Enforcement and Compliance Practice at DLA Piper. [read post]
13 Jan 2010, 4:19 pm
Introduced by Representative Barney Frank (D-MA) in July, and out of Committee and the House Floor that same month. [read post]
16 Dec 2016, 1:00 am
Dudley, Federal Reserve Bank of New York, on Friday, December 9, 2016 Tags: Banks, Capital requirements, Corporate culture, Cross-border transactions, Dodd-Frank Act, Financial crisis, Financial regulation, Liquidity, Money market funds, Recovery & resolution plans, Risk management, SIFIs, Too big to fail Third Circuit Ruling on Make-Whole Provisions Enforceable in Bankruptcy Posted by Sarah R. [read post]
30 Sep 2016, 6:09 am
Choi, University of Virginia Law School, on Tuesday, September 27, 2016 Tags: Behavioral finance, Controlling shareholders, Dual-class stock, Firm performance, Incentives, Long-Term value,Minority shareholders, Ownership structure, Private benefits of control, Reputation, Shareholder value, Short-termism The Federal Reserve’s De-Risking of Merchant Banking and Commodities Activities Posted by Arthur Long and James Springer, Gibson, Dunn & Crutcher LLP, on Tuesday, September… [read post]
31 Mar 2017, 6:03 am
De Ghenghi and Margaret Tahyar, Davis Polk & Wardwell LLP, on Tuesday, March 28, 2017 Tags: Banks, Capital markets, CHOICE Act, Derivatives, Dodd-Frank Act, Donald Trump, FDIC, FHCs, Financial institutions, Financial reform, Financial regulation, Investment banking, Swaps The “Why” Question in Investment Theory Posted by Saker Nusseibeh, Hermes Investment Management, on Tuesday, March 28, 2017 Tags: Accountability, Capital allocation, Capital markets,… [read post]
25 Nov 2020, 3:00 pm
In 2020, the Trump administration was successful in eliminating a three percent cap on bank ownership of venture capital funds and to allow banks to invest in credit funds. [read post]
7 Jul 2022, 11:30 am
In Dodd-Frank, Congress gave the same “unfairness” authority to the CFPB that it gave to the FTC in 1938. [read post]
8 Nov 2010, 7:40 pm
As if the daily news wasn’t enough to drive a “normal” person to reach for the Zoloft or the Jack Daniels (or both), the consensus among attorneys for various state and national bank trade associations who spoke at last month’s Texas Association of Bank Counsel conference in Austin was that due to the increased compliance burdens placed on community banks by the Dodd-Frank Financial Reform Act (notwithstanding certain trade… [read post]
6 Dec 2016, 3:00 am
Similarly, although the Trump transition website calls for dismantling Dodd-Frank, it is silent on whistleblowing. [read post]
5 Feb 2011, 9:17 am
This has since been fixed by Dodd-Frank which says it does but this case precedes that. [read post]
13 May 2011, 5:00 am
Department of the Treasury (“Treasury”) relating to the filing of Reports of Foreign Bank and Financial Accounts (“FBAR”) became effective. [read post]
8 Jul 2016, 6:00 am
A look at the three most significant types of Dodd-Frank-regulated financial intermediaries: banks, broker-dealers and futures commission merchants (“FCMs”) makes this clear: [More…] The average American woman now weighs as much as the average 1960s man by Christopher Ingraham in The Washington Post The average American woman weighs 166.2 pounds,according to the Centers for Disease Control and Prevention. [read post]
4 Apr 2012, 5:34 am
Please, do not give up on her," said Frank Murphy to the press. [read post]
4 Jan 2021, 11:46 am
” He thinks that “whistleblowers need to look toward the Dodd-Frank Act and the IRS whistleblower law for protection. [read post]
26 May 2015, 5:00 am
In July 2014, the CFPB issued a proposed rule to implement Dodd-Frank Act amendments to HMDA. [read post]
