Search for: "FRANK DOE 1-5"
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14 May 2021, 8:01 am
The representative also said the SEC does not need additional authority to act on climate risk. [read post]
22 Nov 2010, 8:25 am
SEC Proposed Rule 203(l)-1 under Investment Advisers 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]
10 Dec 2019, 6:03 am
5%-ish. [read post]
9 Feb 2011, 4:11 am
The firm's pay spread rose from about 5-to-1 to as much as 9-to-1 in the past decade as it expanded. [read post]
9 May 2022, 7:29 am
Here is Frank and Burkhard’s article. [read post]
14 Sep 2012, 8:34 am
” Franks v. [read post]
14 Sep 2012, 8:34 am
” Franks v. [read post]
7 Oct 2011, 4:03 pm
Circuit Court of appeals, entered Oct. 5, stated that FINRA does not have the authority to bring court actions to collect disciplinary fines. [read post]
11 Jun 2010, 6:50 am
5. [read post]
4 Oct 2009, 7:03 pm
Zazi is hampered in any effort to show a Franks violation. [read post]
8 Mar 2012, 4:53 pm
House of Representatives; What does the future hold for crowdfunding legislation? [read post]
14 Apr 2019, 5:00 am
1. [read post]
1 Sep 2012, 2:09 pm
This requirement could impose a significant expense on many private investment funds. 5. [read post]
1 Sep 2012, 2:09 pm
This requirement could impose a significant expense on many private investment funds. 5. [read post]
13 Nov 2011, 7:14 pm
Leonard Bernstein - Bernstein, a financial services regulatory attorney, presented separate discussions about how 1) Dodd-Frank and 2) advertising laws impact structured settlements. [read post]
6 Jul 2012, 12:01 am
To be frank, threads do not need updating every second. 99% of threads do not even warrant being updated at 5 seconds, but I'll respect that many would consider any longer to be "too long. [read post]
30 Sep 2018, 4:18 pm
§ 6086(a)(5) for those of you that want to nerd out). [read post]
7 Dec 2010, 5:00 am
’ ” What does this all mean? [read post]
7 Dec 2022, 2:44 pm
But it was the second straight year the company’s shareholders turned thumbs down: Del Rio’s $36.4 million 2020 pay, as the industry all but foundered, was disapproved in a 5-1 vote. [read post]
5 Apr 2012, 1:57 pm
That said, effective today, “Emerging Growth Companies” - most companies with under $1 billion in annual revenues that have been public for less than 5 years - will be excluded from some of the SOX auditing requirements and Dodd-Frank corporate governance requirements that their older and bigger brethren are burdened by. [read post]
