Search for: "Application of Frank"
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5 Jul 2012, 9:39 am
” Looking to the language of Dodd-Frank, the court found no such indication of extraterritorial application. [read post]
4 Apr 2012, 7:42 am
Dodd-Frank Act Section 113 provides that the FSOC may determine that a U.S. nonbank financial company must be supervised by the Fed. [read post]
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]
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]
9 May 2015, 1:23 pm
Prior posts on these pages have highlighted the Delaware Supreme Court decision ordering Wal-Mart to produce certain documents in response to a Section 220 demand, with exceptions applicable to the attorney-client privilege. [read post]
26 Mar 2015, 9:05 pm
Administration has abused the law in mortgage lender settlements [House Judiciary hearing: Paul Larkin, Ted Frank testimony] Department of Justice official says banks may need to go much farther in informing authorities of customers who may be up to no good than just sending Suspicious Activity Reports (SARs) [Kevin Funnell] Interpol Red Notices, which among other effects cut off banking access, are open to geopolitical manipulation [Ted Bromund, Weekly Standard] No, Operation Choke… [read post]
1 Mar 2011, 4:21 pm
Although the Act says nothing about retroactive application, leaving the question "far from clear," the court reasoned that the ban was in the nature of a procedural provision rather than one dealing with substantive rights. [read post]
13 Jul 2022, 10:51 am
And everything we do in our business and culture plus is founded in our practices in our application in our lives, essentially. [read post]
2 Jun 2010, 4:10 am
Frank, open and honest conversations can and should be held off the record prior to the first action on the merits. [read post]
30 Nov 2013, 12:37 pm
Among other things, he provides frank, wise,and often witty remarks on:leave applications, including the recent rare example of oral argument in the Eli Lilly casethe use of a "glossary" in factumsthe dangers of using disrespectful rhetoricthe relative importance of written arguments and some very good tips on how to write themthe recent development of a conference amongst the judges 15 minutes before the hearingthe recent changes in intervener factum lengths and time limitssome… [read post]
20 Jan 2022, 8:19 am
Justice Thomas would have granted what was an application for stay of mandate and injunction pending review.Justice Kavanaugh wrote a statement that began: The Court of Appeals suggested that a former President may not successfully invoke the Presidential communications privilege for communications that occurred during his Presidency, at least if the current President does not support the privilege claim. [read post]
FINRA Urges SEC to Create SRO for Investment Advisers Amid Fierce Debate Spurred by Dodd-Frank Study
8 Nov 2010, 5:28 pm
FINRA has entered a fierce debate over Dodd-Frank’s call for an SEC study on enhanced examinations of investment advisers by urging the SEC to create a self-regulatory organization (SRO) for investment advisers. [read post]
23 Jul 2010, 5:59 am
To the extent investor materials have already been received from investors in potentially affected ongoing private offerings, issuers should consider obtaining updated accredited investor representations to ensure the continued availability of the applicable exemption. [read post]
4 May 2012, 3:07 am
The alleged Franks violation was not material to the second search warrant’s issuance, and there was plenty of probable cause in the first application. [read post]
22 Jul 2015, 6:37 am
This announcement comes on the heels of the newly released diversity Standards, developed pursuant to the Dodd-Frank Act, which are applicable to regulated entities, including financial institutions doing business in the United States. [read post]
12 Jul 2022, 10:57 am
The CFPB has agreed to a March 31, 2023 deadline for issuing a final rule implementing the small business data requirements of Section 1071 of the Dodd-Frank Act. [read post]
3 Feb 2011, 10:19 am
Joel flags me to the law school news of the morning: applications are down. [read post]
15 Jul 2010, 1:25 pm
After the passage of the Dodd-Frank financial reform bill, managers and service providers will be preparing to go through the registration process. [read post]
13 Mar 2009, 2:10 am
The North County Times, report here, quoted Meeks as ruling, There is a qualified newsgatherers privilege and it is applicable here based on concerns about a chilling effect on the press. . . [read post]
31 Oct 2018, 1:26 pm
In the first, Frank v. [read post]
