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13 Mar 2014, 12:31 pm
Among those changes, Dodd-Frank established the U.S. [read post]
12 Jun 2012, 1:34 pm
March 30, 2012 was the compliance date for several provisions of the Dodd-Frank Act that amended the registration provisions of the Advisers Act. [read post]
18 Jun 2017, 5:02 am
Bankers in Maryland remain watchful of efforts to repeal large portions of Dodd-Frank, the 2010 law created to impose tough regulations on the industry in the wake of the 2008 financial crisis. [read post]
24 Sep 2010, 6:33 am
The Dodd-Frank Act mandates a variety of changes to the governance, disclosure and compensation practices of all public companies. [read post]
18 Jan 2013, 6:06 am
The incoming 113th Congress will certainly debate possible changes to Dodd-Frank, although the prospects for substantive follow-up legislation, corrective or otherwise, are uncertain at best. [read post]
9 Dec 2016, 4:42 pm
A proposal that would effectively replace Dodd-Frank, by Rep. [read post]
13 Oct 2010, 5:55 am
Dodd-Frank and the Family Office One of the significant changes to the financial regulatory system that Dodd-Frank will bring about is the regulation of advisers to private funds, through the elimination (effective July 11, 2011) of the 15-client exemption contained in Section 203(b)(3) of the Investment Advisers Act. [read post]
21 Dec 2011, 3:20 pm
The SEC adopted amendments to the accredited investor standards in the Securities Act regulations to implement the requirements of Section 413(a) of the Dodd-Frank Act, which requires the definition of accredited investor to exclude the value of a person’s primary residence for purposes of determining whether the person qualifies as an accredited investor on the basis of having a net worth in excess of $1 million. [read post]
26 Jul 2011, 7:51 am
The catalyst for these changes is the contents of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
1 Jan 2011, 5:57 am
Given the alleged impact of the change (a forty percent increase in permitted fund investment, though that figure is contested), I don’t know that I agree with Frank’s characterization of the change as “the hat. [read post]
28 Jul 2010, 9:52 am
This weeks signing of the Dodd-Frank Bill has brought little change in the way of financial change. [read post]
14 May 2010, 5:19 pm
I applaud Congressman Frank for his courage on this one! [read post]
25 May 2012, 12:40 pm
The broad scope of new regulation under Dodd-Frank, issued by agencies including the SEC, Commodity Futures Trading Commission (CFTC) and others, will result in fundamental changes across the... [[ This is a content summary only. [read post]
5 May 2014, 4:05 pm
Secretary Jewell Statement on the Passing of Billy Frank, Jr. [read post]
27 Sep 2012, 1:10 pm
To say the Act changed the way Wall Street will be regulated, whose propensity for corrupt financial practices is legendary, would be putting it mildly. [read post]
18 Jan 2015, 12:27 pm
But Senator Elizabeth Warren (D-MA), a key member of the Banking Committee, is likely to rally opposition to Dodd-Frank changes, particularly any changes in the Volcker Rule. [read post]
15 Jun 2017, 10:22 am
Other than this change, the bill does not appear to seek to repeal or otherwise modify the Act’s whistleblower bounty provisions. [read post]
27 Dec 2010, 9:25 am
The Dodd-Frank Act creates an equivalent program, running for 2 years beginning January 1, 2011, but makes several changes, including a more narrow definition of a covered account. [read post]
13 Jun 2017, 12:09 pm
The House has approved major changes to signature aspects of Dodd-Frank. [read post]
24 Feb 2011, 11:51 pm
California Lawyer has honored our Legal Planet colleague Rick Frank with a California Lawyer Attorney of the Year (CLAY) award. [read post]
