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18 Sep 2012, 6:18 am
Among the far-reaching reforms included in the Dodd-Frank Act (the “DFA”) was a comprehensive new regulatory framework for derivatives. [read post]
12 Nov 2007, 10:27 pm
Frank Partnoy OK, I have to admit that FIASCO looks quaint by comparison to the recent subprime and CDO meltdown. [read post]
21 Apr 2008, 10:39 am
Frank's post, Food Shortages and Aid Wastages, hits on a point that must be addressed so thanks Frank for bringing it up. [read post]
28 Oct 2021, 11:48 am
One of Raymond James’ former brokers, Frank Lucien Van Houten, unsuitably recommended and sold Northstar Financial Services (Bermuda) products to the investor. [read post]
21 Sep 2008, 3:28 pm
I'm sorry to keep harping on Congressman Frank. [read post]
25 Oct 2006, 3:05 pm
More from the Party of Hate, an ad in an Indiana congressional race: Pelosi will then put in motion her radical plan to advance the homosexual agenda, led by Barney Frank, reprimanded by the House after paying for sex with a man who ran a gay brothel out of Congressman Frank's home," the narrator says. . . . [read post]
21 Jul 2010, 4:16 am
Is this a hole in Dodd-Frank? [read post]
3 Jul 2011, 6:16 am
I’m planning to have a rough cut of the numbers ready to share with you for the upcoming one-year Dodd-Frank anniversary, on July 21. [read post]
24 Jul 2012, 3:26 pm
The proposed guidance also contains fundamental information concerning which entities will need to register as swap dealers or major swap participants under Title VII of Dodd-Frank. [read post]
3 Jan 2012, 8:53 am
Unlike other Dodd-Frank provisions, the 13F rules do not appear to be especially controversial and have generated less than 30 comments. [read post]
24 Jan 2011, 9:07 am
L. 111-203, 124 Stat. 1376 (2010), hereinafter Dodd-Frank. [read post]
16 Dec 2010, 9:48 pm
(Ilya Somin) Back in September, I wrote a post about historian Frank Dikötter’s excellent new book on Mao Zedong’s “Great Leap Forward” terror famine of the early 1960s. [read post]
5 Oct 2012, 9:12 am
Three states have joined a lawsuit to challenge the constitutionality of the Financial Stability Oversight Council (FSOC), a Dodd-Frank-created regulatory body headed by the Treasury secretary. [read post]
23 Apr 2011, 11:50 pm
Frank Sfarzo, who writes the blog Perugia Shock, complained of being routinely assaulted and threatened by the police in Perugia. [read post]
11 Aug 2010, 4:01 pm
Section 619 of the Dodd-Frank ACT allows a very limited exception from the prohibition on banks sponsoring hedge funds for the provision of limited services under the rubric of prime brokerage between a bank and a third party advised fund in which the fund managed, sponsored, or advised by the bank has taken an ownership interest. [read post]
14 Nov 2011, 5:02 am
A Franks violation was alleged leading to search warrant for child pornography on their computers, and none was found. [read post]
21 May 2012, 9:58 am
Citing a recent Executive Order promoting international regulatory cooperation, the American Petroleum Institute said that proposed SEC regulations implementing Section 1504 of the Dodd-Frank Act, which requires companies in the extractive industries to disclose information pertaining to certain categories of payments made to the governments of the countries in which they operate, would create inconsistencies with the existing international disclosure standard promoted by the Extractive… [read post]
22 Aug 2010, 4:36 pm
The Dodd-Frank Act, Sec, 929X, requires brokers to provide notice to their customers that they may elect not to allow their fully paid securities to be used in connection with short sales. [read post]
28 Oct 2010, 1:12 pm
The SEC and its efforts to implement the Dodd-Frank Act will face more scrutiny if Republicans take control of the U.S. [read post]
15 Jul 2010, 12:44 pm
Recognizing that robust whistleblower protection is critical to preventing another financial crisis, Congress included in the Dodd-Frank financial services reform bill (H.R. 4173) numerous provisions designed to encourage whistleblowing and to provide robust protection from retaliation. [read post]
