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30 Jan 2012, 12:20 pm
In a deposition, Rothstein testified that he wouldn’t have been able to conduct his scheme without the help of TD bank management, such as former bank vice president Frank Spinosa, who Rothstein claims to have paid $50,000 to falsify account balances. [read post]
26 May 2014, 9:30 pm
Further, under Dodd-Frank, a clawback is available only after a financial institution has failed or has restated earnings. [read post]
23 Dec 2011, 10:35 am
In a letter to the SEC and banking regulators, Rep. [read post]
1 Jun 2011, 9:00 am
The Senators urged the SEC and the banking regulators to follow the legislative intent as they modify the proposed risk retention regulations. [read post]
20 Mar 2008, 3:45 am
Frank, a host of new players have emerged and old ones are doing new things. [read post]
13 Sep 2011, 2:21 pm
“We think this is the future,” Tim Carrington, global head of foreign exchange at Royal Bank of Scotland (RBS) told Risk.net. [read post]
27 Nov 2012, 4:50 am
Several statutes – including the National Bank Act of 1863, the Bank Holding Company Act of 1956, the Gramm-Leach-Bliley Act of 1999, and even the Dodd-Frank Act of 2010 – affirm this foundational principle, which generally prohibits banks and bank holding companies from conducting commercial (i.e., non-financial) activities. [read post]
20 Jul 2010, 8:59 am
The focus of the new law is banking, and the reforms are indeed “sweeping,” but the Act will also have a direct and immediate impact on the SEC. [read post]
28 Mar 2011, 11:41 am
With the SEC and the federal banking agencies set to consider risk retention rules under Dodd-Frank, the Senate authors of the qualified residential mortgage carve out have written to the Commission to clarify the legislative intent of the carve out, which is codified in Section 941. [read post]
29 May 2018, 5:12 am
On May 24, 2018, the President signed Public Law 115-174, the “Economic Growth, Regulatory Relief, and Consumer Protection Act,” which includes some revisions to the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank”), but not its wholesale repeal. [read post]
10 Jun 2019, 2:05 pm
The OCC believes that sufficient stress testing programs have been adopted and integrated into the risk management policies of banks and federal savings institutions to which the DFAST rules apply. [read post]
31 Dec 2010, 4:07 pm
Thirteen US Senators, including leading members of the Banking Committee have expressed concern with the consequences of replacing a market-based system for debit card acceptances with a government-controlled system pursuant to Section 1075 of the Dodd-Frank Act. [read post]
24 May 2012, 3:22 pm
Today, the CFPB proposed a rule setting up procedures for supervising non-banks that the CFPB believes are engaging in, or may have engaged in, activities that pose risks to consumers. [read post]
20 Jun 2018, 6:02 am
Most major pieces of financial regulation—from the National Bank Act of 1864 on up to the Federal Reserve Act of 1914, the Banking Acts of 1933 and 1935, and the Dodd-Frank Act of 2010—imposed substantial costs on powerful, incumbent financial interests. [read post]
9 May 2016, 4:45 pm
CBO: “H.R. 4894 would repeal title II of the Dodd-Frank Wall Street Reform Act of 2010. [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]
13 Feb 2012, 1:29 pm
The Volcker Rule is a part of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. [read post]
14 Mar 2011, 8:45 am
The OLA is roughly modeled on the existing receivership process for banks, where the Federal Deposit Insurance Corporation will act as receiver. [read post]
9 Jul 2009, 9:22 am
Frank's press release is below the jump. [read post]
30 May 2024, 10:36 am
In the 2010 Dodd-Frank Act, Congress codified the standard for preemption under the National Bank Act, namely that a state consumer financial law is preempted only if it is (1) discriminatory against national banks relative to state banks, (2) preempted by a specific federal non-banking law provision, or (3) "prevents or significantly inters with" a national bank's exercise of its powers. [read post]
