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13 Dec 2014, 12:43 am
[Click here to see the rest of this post]Found onRelated articlesWhat Changes to the Dodd-Frank Law Could Mean - The Short Answer (blogs.wsj.com)Deal to Extend U.S. [read post]
23 Mar 2013, 12:47 pm
Committee Chairman Frank Lucas (R-OK) described the legislation as common sense changes to Dodd-Frank and a step in to correct aspects of Dodd-Frank.The Inter-Affiliate Swap Clarification Act (H.R. 677), approved by voice vote, would ensure that derivatives transactions between affiliates in a single corporate group are not regulated as swaps under the Dodd-Frank Act. [read post]
25 Mar 2014, 1:26 pm
Jared KellyOn March 24, 2014, the CFPB along with five other federal agencies issued a joint proposed rule (“Proposed Rule”) regarding Appraisal Management Companies (“AMC”) as required by section 1473 of the Dodd-Frank Act (“Dodd-Frank”). [read post]
7 Jan 2011, 5:00 am
Here are some recent compliance-related stories that I found interesting: Dodd-Frank: Too Many Regulations Too Fast? [read post]
1 Aug 2012, 1:06 pm
Dodd-Frank Among other reforms, Dodd-Frank created the Consumer Financial Protection Bureau (CRPB) and the Federal Insurance Office (FIO). [read post]
20 Aug 2012, 9:54 am
Anne Frank said, “I must uphold my ideals, for perhaps the time will come when I shall be able to carry them out. [read post]
FINRA Urges SEC to Create SRO for Investment Advisers Amid Fierce Debate Spurred by Dodd-Frank Study
8 Nov 2010, 5:28 pm
FINRA has entered a fierce debate over Dodd-Frank’s call for an SEC study on enhanced examinations of investment advisers by urging the SEC to create a self-regulatory organization (SRO) for investment advisers. [read post]
30 Aug 2011, 10:48 am
Section 941 of Dodd-Frank exempts qualified residential mortgages from the new risk retention requirement. [read post]
17 Feb 2011, 5:40 pm
In SIFMA’s view, this gap has provided a significant competitive opportunity for European institutions that are basing marketing campaigns on US institutions’ compliance with Dodd-Frank. [read post]
2 Jan 2011, 5:57 pm
On the last day of the 111th Congress, Senator Dick Durbin (D-Il) strongly defended the interchange fee reform provisions of Dodd-Frank Section 1075 against a growing chorus of concern and some criticism. [read post]
10 Jan 2011, 4:34 pm
The securities industry has asked the SEC and other federal financial regulators to implement the Volcker provisions of Dodd-Frank in a manner that is firmly grounded in market realities. [read post]
26 Mar 2012, 2:21 pm
Second, it contrasts two mortgages: the one from the subprime boom of the early 2000s and the other from Dodd-Frank, the “Qualified Mortgage. [read post]
30 Aug 2011, 4:50 pm
Global audit firms have a number of concerns around proposed SEC regulations implementing Dodd-Frank’s requirement of an independent outside audit of a company’s Conflict Minerals Report included in the annual report. [read post]
22 Aug 2016, 1:01 pm
These recent SEC charges arise from SEC Rules, passed in August 2011 as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), which enable whistleblowers to collect 10 percent to 30 percent of the total award when giving information that leads to an action recovering at least $1 million. [read post]
25 Aug 2011, 2:23 pm
Prior to the Dodd-Frank Act, the SEC's authority for rewarding whistleblowers covered only insider trading cases. [read post]
26 Aug 2008, 10:12 am
Frank Rich writes (after mentioning Michael Phelps success):This was a rare feel-good moment for a depressed country. [read post]
9 Sep 2011, 7:43 am
Frank Stephenson has written this article for Public Choice. [read post]
28 Feb 2011, 6:20 pm
Creating reporting exceptions would also risk creating loopholes that could undermine a level playing field for all covered issuers.The proposal notes that the term "project" is not defined in Dodd-Frank and asks if a definition is needed. [read post]
29 Mar 2011, 10:22 am
Consistent with the securitization and ``skin in the game’’ risk retention provisions of Dodd-Frank, the SEC and the Federal banking agencies will propose regulations this week requiring securitization sponsors to retain an economic interest equal to at least 5 percent of the aggregate credit risk of the assets collateralizing an issuance of asset-backed securities. [read post]
10 Jan 2011, 10:35 am
SEC proposed Rule 9j-1 to prevent fraud and manipulation in the trading and exercise of security-based swaps exceeds the authority granted the Commission under Section 763(g) of the Dodd-Frank Act, said a global hedge fund association, and go beyond Congress’s delegated authority in extending the prohibitions of Rule 10b-5 to ongoing obligations between the execution and extinguishment of a security-based swap contract which do not fall within the statutory definitions of purchase and… [read post]
