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28 Apr 2016, 5:21 am
The Dodd-Frank Act, as of July 21, 2011, transferred to the CFPB the rulemaking authority of the Fed and various other federal agencies under 14 federal consumer financial protection laws (except with respect to certain sections of such laws). [read post]
10 Apr 2012, 6:34 am
Securities and Exchange Commission announced the formation of a new Investor Advisory Committee, as required by the Dodd-Frank Act.The new 21-member panel replaces the committee that was created in 2009 and then disbanded in 2010 after the Dodd-Frank law took effect. [read post]
9 Dec 2022, 6:44 am
The bill extends Dodd-Frank style whistleblower rights to individuals reporting money laundering and sanctions violations. [read post]
17 Dec 2015, 6:28 am
The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) established the Council to provide comprehensive monitoring of the stability of our nation’s financial system. [read post]
6 May 2011, 6:52 am
Dodd-Frank created a permanent exemption from these requirements, in Section 404(b) of the Sarbanes-Oxley Act of 2002, for companies with market capitalizations below $75 million. [read post]
23 Dec 2014, 7:19 pm
“THE OFFICE OF THE INVESTOR ADVOCATE was established pursuant to Section 915 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”), as codified under Section 4(g) of the Securities Exchange Act of 1934 (the “Exchange Act”), 15 U.S.C. [read post]
21 Nov 2010, 7:11 pm
Proposed Rule 203A-1 Pursuant to Dodd-Frank Act The SEC has proposed certain new rules as well as amendments to existing rules under the Investment Advisers Act as a result of the Dodd-Frank Act. [read post]
25 Jul 2012, 12:19 pm
” Frank asked, and sat down in the client chair in front of Cullen’s desk, because he knew there was a story coming. [read post]
18 Oct 2010, 6:07 pm
Frank D’Alonzo, a former administrator for the Toms River Regional School District, and Frank Cotroneo, an insurance broker, pleaded guilty Monday in federal court to participating in a scheme to pay hundreds of thousands of dollars in bribes to an unnamed “executive employee” of the school district. [read post]
13 Jun 2007, 8:50 pm
She had found us through Frank Roche's excellent KnowHR blog (shout out, Frank), which has been a staple on our Blogroll (right) for quite some time. [read post]
21 Aug 2012, 11:33 am
During the Dodd-Frank rule-making process, the SEC approved a variety of proposals made by the NWC that encourage whistleblowers to step forward. [read post]
29 Dec 2010, 7:59 pm
Dodd-Frank removed that exemption, but expressly provided a new exemption from registration for advisers to venture capital funds. [read post]
28 Mar 2011, 3:47 pm
In a letter to Treasury copied to the SEC, Senator Mike Crapo (R-ID) explained the intent behind the commercial mortgage-backed securities alternatives of the risk retention requirements of Section 941 of Dodd-Frank, which he authored. [read post]
13 Jun 2011, 4:12 am
What lessons can we draw from the implementation of Dodd-Frank so far? [read post]
4 Dec 2008, 11:13 pm
In particular Kuhnhenn cites a recent speech by Barney Frank:"He's going to have to be more assertive than he's been," House Financial Services Committee Chairman Barney Frank, D-Mass., told consumer advocates Thursday. . . [read post]
20 Dec 2011, 12:00 am
Criticism of the powers, role, and existence of the Consumer Financial Protection Bureau (CFPB) persists nearly a year and a half after the agency was created by the Dodd-Frank Act of 2010. [read post]
14 Nov 2011, 4:10 pm
Brown returned to work at Lisa Frank after a ten year absence in 2009. [read post]
11 Sep 2011, 4:18 pm
Undeterred, Frank Zappa’s widow, Gail Zappa, who had sought damages from the Zappanale organisers, which the court had also denied, took the matter to the German Federal Supreme Court filing an appeal against the Higher Regional Court’s denial of leave to appeal. [read post]
14 Mar 2017, 1:54 pm
Neo@Ogilvy LLC, the Ninth Circuit panel held that Dodd-Frank protections apply to internal whistleblowers. [read post]
24 Apr 2011, 10:06 pm
Magical thinking at the FDIC [David Skeel via Bainbridge] Tags: Crisis of 2008, Wall Street Related posts Microblog 2008-11-25 (0) March 27 roundup (1) July 27 roundup (3) Financial Crisis Inquiry Commission (5) Bigger — and more entrenched — hedge funds (1) [read post]
