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14 Feb 2012, 3:00 am
In many cases ratings are used to govern how investors, especially institutional investors or banks, invest money or match assets and liabilities. [read post]
6 Jan 2012, 8:47 pm
In response, Congress passed the Dodd-Frank Act, which changed vast swathes of financial regulation. [read post]
28 Feb 2012, 2:00 am
Securities and Exchange Commission should start over with a new proposal of the so- called Volcker rule that bans banks’ proprietary trading, said SEC Commissioner Troy Paredes. [read post]
5 Jul 2010, 8:10 pm
I did find out part of the article refreshing: a frank admission from some consumer groups that the cost of credit will be likely to increase: Some consumer advocates acknowledge that certain borrowers—particularly low-income consumers—are likely to find less credit available as products are regulated more closely than they were before. [read post]
27 Mar 2011, 11:26 am
Maybe bank to #TwitterFon? [read post]
16 Mar 2012, 5:33 am
Except that rulemaking was mandated by Congress in Dodd-Frank... [read post]
17 Mar 2012, 4:17 pm
Meantime, in a related securities fraud lawsuit filed in civil court, the SEC accused Frank Mazzola and his financial firms Facie Libre Management Associates, LLC and Felix Investments of making secret commissions and taking part in improper self-dealing. [read post]
3 Sep 2010, 12:21 pm
Stulz, Why did Some Banks Perform Better During the Credit Crisis? [read post]
21 Dec 2008, 12:04 pm
The remaining claimants -- Tyco, defendant Mark Belnick, and defendant Frank E. [read post]
9 Oct 2009, 5:58 am
Franke Professor of Law and Business Stanford Law School Scott Hirst Co-Executive Director Harvard Law School Program on Corporate Governance Howell Jackson James S. [read post]
2 May 2010, 7:59 am
National Australia Bank, the U.S. [read post]
19 Apr 2013, 3:46 am
Trading & Markets has significantly expanded rule-writing and supervisory responsibilities under Dodd-Frank and the JOBS Act, and the increased sums would be dedicated to satisfying those responsibilities [read post]
6 Dec 2007, 2:01 am
Frank ChalkIs libel dead? [read post]
27 Mar 2008, 4:23 am
Trade Prepresentative Susan Schwab From House Financial Services Chairman Barney Frank and Rep. [read post]
10 Feb 2021, 5:53 am
He/she may also be listed as your beneficiary on bank accounts, retirement accounts, and/or life insurance. [read post]
7 Jan 2011, 11:19 am
The SEC has said that a "record" holder typically is a "broker or a bank," and in a 2008 no-action ruling involving Hain Celestial, the agency staff said the rule would be satisfied by a statement from an "introducing broker-dealer. [read post]
7 Apr 2017, 10:42 am
SEC Increases Crowdfunding Limits – pursuant to the requirements under the Dodd-Frank Act that the SEC increase the limits proscribed in the crowdfunding regulations, the SEC increased certain limits under those regulations. [read post]
3 Sep 2011, 2:34 pm
: Earlier I called it Infectious Greed--but that is Frank Partnoy's fine book about his life as a trader. [read post]
16 Nov 2009, 9:04 am
No similar bill has yet been introduced in the Senate, though Senate Banking Committee Chairman Chris Dodd released a draft proposal regarding financial reform on November 10, 2009. [read post]
15 Nov 2010, 1:35 pm
The United States, through the Dodd-Frank Act, has implemented important reforms to improve the transparency and oversight of OTC derivative markets, including OTC financial oil products. [read post]
