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30 May 2012, 9:08 am
In a letter to the SEC, CFTC and the banking agencies implementing the Volcker Rule provisions of the Dodd-Frank Act, 35 House Members said that the Volcker regulations must be finalized this summer. [read post]
22 Jul 2015, 6:37 am
This announcement comes on the heels of the newly released diversity Standards, developed pursuant to the Dodd-Frank Act, which are applicable to regulated entities, including financial institutions doing business in the United States. [read post]
14 Dec 2011, 6:47 am
The question is whether these governance structures are ineffective and whether implementing independence standards imposed by Dodd-Frank, SOX and the major stock exchanges will improve bank governance. [read post]
18 May 2017, 9:04 am
Many factors stand in the way of significant Dodd-Frank reform in the Senate. [read post]
27 Feb 2024, 2:10 pm
Bank of America Tuesday selected Baltimore’s Calvert Hall College High School as a recipient of a $300,000 leadership grant in memory of Frank Bramble Sr. [read post]
29 Jun 2012, 1:47 pm
In particular, the report found that the state’s banking laws (i) needed to be modernized in the wake of the Dodd-Frank Act and other changes in federal law, (ii) encouraged banks to avoid the burden of the banking law by forming holding companies under the more liberal standards of the North Carolina Business Corporation Act, and (iii) failed to address changes in banks’ capital needs. [read post]
16 Jul 2013, 5:05 pm
The SEC originally proposed rule amendments to implement Section 926 of the Dodd-Frank Act on May 25, 2011. [read post]
24 Jul 2015, 6:40 am
Covered Entities include financial institutions, investment banking firms, mortgage banking firms, asset management firms, brokers, dealers, financial services entities, underwriters, accountants, investment consultants, and providers of legal services. [read post]
10 Feb 2016, 9:05 pm
More: “Sorry Bernie, Wall Street Wasn’t Deregulated Pre-Crash” [Jared Meyer, Forbes] Auto lender shakedowns by Obama CFPB and DoJ continue, latest is Toyota for $21.9 million [WSJ] “Obama bullied bank to pay racial settlement without proof: report” [Paul Sperry, New York Post] Delaware Chancery Court takes step toward countering plaintiff lawyers who sue on almost every deal, still has many miles to go [Ronald Barusch, WSJ “Dealpolitik”] … [read post]
26 Jul 2010, 10:19 am
The Volcker provisions of Dodd-Frank prohibit high risk proprietary trading at banks, limit the systemic risk of such activities at non-bank financial companies, and prohibit material conflicts of interest in asset-backed securitizations.The FSA Chair cautioned that, even if proprietary trading of credit securities was largely conducted by institutions separate from commercial banks, important and potentially destabilizing interactions could still exist between… [read post]
6 Aug 2010, 8:40 am
The thought was that Dodd-Frank would recreate that world. [read post]
26 Jan 2014, 6:55 am
In response, regulatory policymakers have been analyzing how the shadow banking system works, and considering options to promote greater financial stability in shadow banking.4 Congress is considering several shadow banking regulatory reform proposals (e.g. changing the status of repurchase agreements [repos] in bankruptcy proceedings), overseeing related agency rulemaking (e.g., regulations for Money Market Funds [MMFs]), and overseeing the implementation of related… [read post]
21 Jul 2014, 6:10 am
Today, major banks must make disclosures mandated not only by the SEC, but also by a new system developed by the Federal Reserve and other bank regulators in the shadow of the Basel Committee on Banking Supervision and the Dodd-Frank Act. [read post]
16 Jul 2010, 5:45 am
To the extent the super-banks and insurance companies deal with smaller companies, very little likely will change. [read post]
15 Sep 2017, 3:20 am
SEC] Between FATCA and the Patriot Act, American extraterritorial banking rules keep wreaking havoc on other countries [Ernesto Londono, New York Times on Uruguay legal marijuana businesses] “Congress Can Rescind the CFPB’s Gift to Trial Lawyers” Ted Frank, WSJ] “Absent Reform, Little Relief in Sight from Chronic “Merger Tax” Class-Action Litigation” [Anthony Rickey, WLF] Tags: arbitration, banks, CFPB, extraterritoriality,… [read post]
9 Aug 2022, 3:15 am
Ultimately, the bank settled with the agencies for $10 billion, so you can understand why this guy was hoping for a big payday. [read post]
20 Oct 2010, 2:30 pm
The Dodd-Frank Wall Street Reform and Consumer Protection Act was enacted to prevent the occurrence of the recently suffered financial crisis. [read post]
13 Jul 2011, 3:02 pm
These restrictions were included in an effort to restrain risk taking at banking entities and to reduce the potential that these entities could require federal support because of their speculative trading activity within the banking entity. [read post]
16 Mar 2012, 7:00 pm
You may be on spring break or not subscribe to that pink paper from across the pond, and so have missed Frank Partnoy's op-ed today in the Financial Times about Greg Smith. [read post]
6 Mar 2012, 6:54 am
The Federal Reserve’s approval recently of Capital One’s application to acquire ING Bank, fsb, taken together with its December approval of PNC’s proposed acquisition of RBC Bank (USA), marks a path forward for bank acquisitions. [read post]
