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Dodd-Frank H.R. 4173 now before the Senate
15 Jul 2010, 6:45 am by Kurt Schulzke
The leviathan Dodd-Frank bill, newly renamed the “Restoring American Financial Stability Act of 2010,” has been taken up by the Senate. [read post]
The Schulzke Brief - http://schulzkelaw.com
SEC Chairman Says Commission Shouldn’t Impose Industry-Wide Bars On Offenders that Committed Misconduct Before Dodd-Frank Statute’s Enactment
16 Apr 2012, 12:57 pm
Remarks at the 44th Annual Rocky Mountain Securities Conference by Commissioner Daniel M. [read post]
Institutional Investor Securities Blog - http://www.institutionalinvestorsecuritiesblog.com/
Dodd-Frank Enhanced Prudential Standards for Foreign Banking Organizations
3 Jan 2013, 6:25 am by Margaret E. Tahyar, Davis Polk & Wardwell LLP,
Following closely on the heels of Federal Reserve Governor Daniel K. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Revised opinion expands list of vacated pre-Dodd-Frank bars
16 Aug 2017, 5:13 am by John Jascob
In 2012, the Commission filed a complaint against broker Daniel Imperato charging 17 violations of the securities laws and associated regulations. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
2nd Cir. Holds NY’s Interest-on-Escrow Law Preempted as to National Banks
13 Oct 2022, 12:27 pm by Daniel Miller
Daniel Miller [read post]
The Consumer Financial Services Blog - http://consumerfsblog.com/
SEC Guidance on Conflict Mineral and Resource Extraction Disclosure Requirements
16 Jun 2013, 8:10 am by David M. Lynn, Morrison & Foerster LLP,
Bard, and Daniel R. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Wall Street Reform Bad for Shareholders
20 Sep 2010, 12:10 pm by Steve Bainbridge
David Larcker and Daniel taylor report the results of an empirical analysis of the impact of recent corporate governance regulation (Dodd-Frank etc...) [read post]
ProfessorBainbridge.com - http://www.professorbainbridge.com/professorbainbridgecom/
What Does the Regulatory Scheme for Financial Services Look Like?
18 Mar 2015, 6:50 am by Doug Cornelius
This: Click for the full PDF file SEC Commissioner Daniel M. [read post]
Compliance Building - http://www.compliancebuilding.com
Circuit Court Split On Internal Whistleblower Protection Sets Stage For Supreme Court Showdown
2 Aug 2017, 11:24 am by Silver Law Group
Somers’s lawyer, Daniel L. [read post]
SEC Whistleblower Lawyer Blog - http://www.secwhistleblowerlawyers.net/
Circuit Court Split On Internal Whistleblower Protection Sets Stage For Supreme Court Showdown
2 Aug 2017, 11:24 am by Silver Law Group
Somers’s lawyer, Daniel L. [read post]
SEC Whistleblower Lawyer Blog - http://www.secwhistleblowerlawyers.net/
Senate Hearings on Implementation of Dodd-Frank Derivatives Title Focus on End Users and Global Consistency of Regulations
13 Apr 2011, 8:43 am by James Hamilton
I Federal Reserve Board Governor Daniel Tarullo said that international coordination on derivatives regulation has been very good, especially in the areas of central counterparties, electronic trading, and risk management. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Argument analysis: Don’t just whistle while you work – Dodd-Frank whistleblowers may need to pucker up for the SEC
29 Nov 2017, 8:42 am by Theresa Gabaldon
When Daniel Geyser took over the lectern on behalf of Somers, Breyer’s questioning was just as challenging. [read post]
SCOTUSblog - http://www.scotusblog.com/
Murphy & McGonigle attorneys expect more aggressive offshore enforcement in wake of Scoville decision
11 Feb 2019, 5:00 am by John Jascob
Goldfarb, Daniel T. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Dire Predictions For Wall Street Reforms: Not Complete Until 2013, Even Longer to Implement, Half May Not Survive
12 May 2012, 6:54 pm
JOBS ACT (PDF) Governor Daniel K. [read post]
Stock Broker Fraud Blog - http://www.stockbrokerfraudblog.com/
Do we still say "props"? And give "shout outs"? If so, here's a shoutout to SEC Commissioner Daniel M. Gallagher with huge props on the pay ratio rule
19 Sep 2013, 2:41 pm by Steve Bainbridge
Granted the SEC has to adopt a rule implementing the asinine requirement in Dodd-Frank Section 953(b) re disclosure of the ratio of CEO pay to that of a company's average workers, but I still want to... [[ This is a content summary only. [read post]
ProfessorBainbridge.com - http://www.professorbainbridge.com/professorbainbridgecom/
What Dodd-Frank Tells Us About the Impact of Risk Oversight Functions on Bank Risk
3 Dec 2023, 9:05 pm by renholding
Daniel at Drexel University, Joseph G. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
SEC COMMISIONER COMES OUT AGAINST RETROSPECTIVE COLLATERAL BARS
25 May 2012, 8:00 am by Ernest E. Badway
Recently, SEC Commissioner Daniel Gallagher stated that he was not in favor of allowing the Commission to retroactively impose a collateral bar. [read post]
Securities Compliance Sentinel - http://securitiescompliancesentinel.foxrothschild.com
Fed Governor Says List of Hedge Funds and Mutual Funds Deemed Systemically Important under Dodd-Frank Should Be a Short One
13 Apr 2011, 11:35 am by James Hamilton
The initial list of hedge funds, mutual funds, and other non-bank financial firms designated as systemically important by the Financial Stability Oversight Council and thereby subjected to heightened supervision should not be a lengthy one, said Federal Reserve Board Governor Daniel Tarullo. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Banking and finance roundup
31 Aug 2015, 9:05 pm by Walter Olson
Circuit’s recent ruling striking down part of Dodd-Frank conflict mineral disclosure rule [Business Law Prof] More on suit challenging constitutionality of FATCA, the law complicating many expatriates’ lives [Paul Mirengoff, PowerLine] “Jury Will Put A Price On Terrorism — And Stick A Bank With The Bill” [Daniel Fisher, Reuters on Arab Bank settlement] Operation Choke Point: “How a program meant to stamp out fraud has put a stranglehold on… [read post]
Overlawyered - http://overlawyered.com/
Why CEO-to-Worker Pay Ratios Matter to Investors
11 Aug 2011, 6:24 am by Daniel F. Pedrotty, AFL-CIO,
Editor’s Note: Daniel Pedrotty is the Director of the AFL-CIO Office of Investment. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov