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In Letter to SEC, Securities Professionals Concerned that Volcker Rule Proposals Will Hurt Liquidity
11 Jan 2012, 9:12 am
The congressional intent of the Volcker Rule was to restrict proprietary trading, said the association, not to impose comprehensive restrictions on market making.The original intent of Section 619 of Dodd-Frank is to prohibit U.S. banks with insured deposits from engaging in proprietary trading and limit bank holding companies from participating in hedge fund and private equity businesses. [read post]
11 Jan 2012, 6:36 am
According to the CFPB, the agency will apply the same approach to nonbank examination as it does to bank examination, including notifying nonbanks in advance of examinations. [read post]
11 Jan 2012, 6:32 am
Dodd Frank Rules: The U.S. [read post]
11 Jan 2012, 6:21 am
The Federal banking agencies have recently issued three notices of proposed rulemaking (and applicable related guidance) in connection with the implementation of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”). [read post]
9 Jan 2012, 4:31 pm
Pity the Quarter-Billionaire By Thomas Frank, cross-posted from Tom Dispatch Dear Tea Party Movement, For the last few months, the world has been fascinated by your frenzied search for a presidential candidate who is not Mitt Romney. [read post]
7 Jan 2012, 7:48 am
National Australia Bank, 130 S. [read post]
6 Jan 2012, 8:47 pm
In response, Congress passed the Dodd-Frank Act, which changed vast swathes of financial regulation. [read post]
6 Jan 2012, 6:24 pm
Chairman Bachus noted that, by launching its non-bank regulatory program, the CFPB apparently views the appointment as sufficient to activate rulemaking and other authorities pursuant to Section 1066 of Dodd-Frank, even though that provision on its face conditions the exercise of these authorities on Senate confirmation of a Director.In order to assist the Committee in reviewing this matter, Chairman Bachus asked for a response to three questions by January 20, 2012. [read post]
6 Jan 2012, 5:01 pm
Berkeley), From Independence to Politics in Banking Regulation (comments by Shruti Rana (Maryland))(my introductory blog post) Anita K. [read post]
6 Jan 2012, 4:33 pm
We discuss in detail how this proposal would function within the present legal and regulatory environment—particularly within the contexts of bank regulation, corporate governance, and Dodd-Frank—and address counter-arguments and alternative proposals. [read post]
5 Jan 2012, 2:17 pm
The proposed regulations implementing Dodd-Frank’s Volcker Rule provisions would have an adverse impact on the trading of Japanese government bonds, in the view of the Financial Services Agency and the Bank of Japan. [read post]
5 Jan 2012, 1:53 pm
This becomes relevant to Foreign Corrupt Practices Act (FCPA) whistleblowers through the Dodd-Frank Whistleblowers provision. [read post]
5 Jan 2012, 12:35 pm
The enactment of the Dodd-Frank Wall Street Reform Act creates causes of action for employees of businesses that offer or provide consumer financial products or services primarily for personal, family or household purposes, including banks, loan brokers, check-cashing companies, real estate settlement companies, and financial advisors. [read post]
5 Jan 2012, 9:32 am
” Under the Dodd-Frank Act, the CFPB has specific authority to oversee mortgage companies (originators, brokers, and servicers including loan modification or foreclosure relief services); payday lenders; and private education lenders. [read post]
5 Jan 2012, 9:32 am
This launch fulfills the twin promises of the Dodd-Frank Act that the Bureau will have a singular focus on protecting consumers in the financial marketplace, and ensuring that large banks and non-bank financial firms are held to the same standards.The non-bank markets are large and significant, the Director emphasized, and provide valuable services to customers who lack access to other forms of credit. [read post]
5 Jan 2012, 9:06 am
Joseph Engelhard, senior vice president of Capital Alpha Partners, a Washington, D.C., area firm that provides research and analysis for institutional investors, called Section 165 “the single most important section of Dodd-Frank” for banks. [read post]
5 Jan 2012, 7:53 am
That's exactly the sort of attitude that drives the Occupy movement and middle-class outrage at banking's refusal to be regulated. [read post]
5 Jan 2012, 7:49 am
Rapp, Regulating On-line Peer-to-Peer Lending in the Aftermath of Dodd-Frank (comments by Andrew Verstein) Stavros Gadinis, From Independence to Politics in Banking Regulation (comments by Shruti Rana) Wulf A. [read post]
5 Jan 2012, 7:31 am
The Dodd Frank Act mandates a study on the feasibility of contingent capital. [read post]
5 Jan 2012, 6:46 am
They examine how securities laws govern the investment by lenders and banking law regulates the borrower end. [read post]
