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24 Mar 2017, 9:56 am
Frank H. [read post]
25 Nov 2011, 5:00 am
This provision defines the applicable categories that are included in total compensation. [read post]
25 Nov 2011, 5:00 am
This provision defines the applicable categories that are included in total compensation. [read post]
24 Aug 2021, 11:30 am
Section 1071 of the Dodd-Frank Act amended the Equal Credit Opportunity Act to require financial institutions to collect and report certain data in connection with credit applications made by women- or minority-owned businesses and small businesses. [read post]
6 Jul 2015, 9:00 am
Read More › Tags: Clawbacks, D&O, Dodd-Frank Act [read post]
21 Dec 2010, 8:00 am
The SEC's proposals would also clarify the application of this exemption by defining a number of terms in the statutory definition of foreign private adviser. [read post]
25 Jul 2011, 2:59 am
Those mid-sized advisers who are currently registered with the SEC (under the applicable regulations effective prior to the Dodd-Frank Act) will be required to “switch” to state registration by June 28, 2012. [read post]
17 Feb 2012, 4:39 pm
Barney Frank (D-Mass) and thirteen other House Members have urged the SEC to promptly adopt strong and effective regulations implementing the extractive industry revenue transparency mandate in Section 1504 of the Dodd-Frank Act. [read post]
3 Apr 2012, 2:37 pm
TIMSANITY for athletic apparel filed 03/21/2012 by Frank DeGrim TIMSANITY for apparel filed 03/22/2012 by Lifenatural, Inc. [read post]
5 Jul 2011, 6:03 am
Savino of the Cozen O’Connor law firm discussing the Southern District of New York’s application of the Morrison decision in an SEC enforcement action pending against Goldman Sachs employee Fabrice Tourre. [read post]
5 Jul 2011, 6:03 am
Savino of the Cozen O’Connor law firm discussing the Southern District of New York’s application of the Morrison decision in an SEC enforcement action pending against Goldman Sachs employee Fabrice Tourre. [read post]
29 May 2018, 5:12 am
On May 24, 2018, the President signed Public Law 115-174, the “Economic Growth, Regulatory Relief, and Consumer Protection Act,” which includes some revisions to the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank”), but not its wholesale repeal. [read post]
25 Aug 2011, 9:51 pm
Gardner prepared an affidavit in support of a search warrant application, which Sager reviewed. [read post]
2 Mar 2012, 11:28 am
The Minister urged the regulators to prevent the possibility of extraterritorial applications of the Volcker Rule. [read post]
2 Apr 2008, 5:39 am
Frank A. [read post]
21 Aug 2012, 9:48 am
AUGUST 27TH UPDATE: The CFTC has deferred the application of business conduct standards relating to swap documentation from mid-October to January 1, 2013. [read post]
28 Mar 2012, 10:03 am
He is, therefore, not entitled to a Franks hearing, and the court must deny the Motion for a Franks Hearing (ECF No. 57). [read post]
26 Jul 2010, 7:12 am
” Therefore, it can no longer be argued, for example, that the PTAF is only applicable to leases or tenancies entered into prior to the lis pendens date. [read post]
17 Jan 2019, 7:10 am
His observations include the following:Internal compliance processes are even more important in post-Dodd-Frank world. [read post]
22 May 2011, 12:44 pm
Senator Grassley is troubled by the proposal that the SEC will not consider information to be derived from independent knowledge or analysis if the knowledge was obtained or was based on seven different proposed exemptions which, in his view, constrain the applicability of Dodd-Frank whistleblower reforms by creating a non-statutory basis for denying an award. [read post]
