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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]
18 Nov 2011, 4:04 am
Under Section 924(d) of the Dodd Frank Act, the SEC must report annually to Congress on its activities, whistleblower complaints and the agency’s response to the complaints. [read post]
18 Nov 2011, 2:00 am
Highlights include a novel connection between bank corruption and national security, tips on going public, and the impact the MF Global bankruptcy has on the future of CFTC procedures. 1. [read post]
17 Nov 2011, 6:27 pm
The House Capital Markets Subcommittee approved bi-partisan legislation repealing the swap push out provisions of Section 716 of the Dodd-Frank Act requiring depository institutions to conduct derivatives trades through an affiliate. [read post]
16 Nov 2011, 8:06 pm
But here we are, a year after Dodd-Frank and three years after the financial crisis, and a too-big-to-fail bank is in a position to hold the US government hostage. [read post]
16 Nov 2011, 5:38 pm
A commercial bank whose core lending and deposit taking business causes its balance sheet and earnings to be highly susceptible to interest rate changes will need to hedge for interest rate risks. [read post]
16 Nov 2011, 2:46 pm
The Volcker Rule, as authorized by the Dodd-Frank Act, is intended to prohibit commercial banks and bank holding companies from engaging in proprietary trading and owning or investing in hedge funds or private equity funds. [read post]
16 Nov 2011, 6:06 am
The report provides the fullest picture to date of the nature and origin of tips the agency is receiving as part of the program, which was created by Dodd-Frank and offers payments of at least $100,000 to those whose information leads to big enforcement penalties. [read post]
16 Nov 2011, 5:22 am
They could provide an early test of the SEC’s new whistleblower program, which was created by Dodd-Frank and offers payments of at least $100,000 to those whose information leads to big enforcement penalties. [read post]
16 Nov 2011, 2:54 am
Bank. [read post]
15 Nov 2011, 6:07 pm
TD Bank, being sued by Texas investment partnership Coquina Investments, filed the motion after verbally making the motion following questioning of its former Vice President, Frank Spinosa, concerning his relationship with Rothstein. [read post]
15 Nov 2011, 5:00 am
The panel was able to report that the Division of Corporation Finance (CorpFin) have proposed or adopted everything under Dodd-Frank that had a deadline. [read post]
13 Nov 2011, 7:41 pm
Its investments in numerous European banks soured when European governments refused to bail out the banks. [read post]
12 Nov 2011, 12:15 pm
Senators Mike Johanns (R-Neb.) and Mark Warner (D-Va.) are co-sponsors of S 1824.In an effort to allay concerns about the broad scope of the SEC registration regime for municipal advisors, the legislation amends Section 975 of the Dodd-Frank Act by excluding banks and persons appointed to or volunteering on a board, commission, committee, or similar function of a municipal entity. [read post]
12 Nov 2011, 2:00 am
Instead of suggesting that we need to repeal Dodd-Frank and end regulation of banks, Taleb says we do need regulation but can't depend on it alone: "Supervision, regulation, and other forms of monitoring are necessary, but insufficient. [read post]
10 Nov 2011, 2:55 pm
The Dodd-Frank Act amended Section 10(b) of the ’34 Act specifically to permit claims against the ratings agencies. [read post]
10 Nov 2011, 6:41 am
Their objective, said Emory University professor and land bank expert Frank S. [read post]
10 Nov 2011, 6:13 am
This memorandum focuses on the most significant issues relating to the prohibition on banking entities investing in and sponsoring private equity and hedge funds. [read post]
10 Nov 2011, 12:03 am
National Australia Bank case (about which refer here). [read post]
9 Nov 2011, 3:07 pm
Berkeley School of Law), From Independence to Politics in Banking Regulation Discussant: Shruti Rana (Univ. of Maryland School of Law) Wulf A. [read post]
