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6 Aug 2015, 7:35 am
Rather, internal whistleblowing that is protected under the Sarbanes-Oxley Act is protected activity sufficient to state a claim under Dodd-Frank, according to the SEC. [read post]
11 May 2017, 2:55 am
Frank Scarso, a registered representative from Staten Island, NY, formerly with First Standard Financial, PHX Financial, Alexander Capital, Clark Dodge & Company and others was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. [read post]
18 Nov 2014, 4:38 pm
This memo seeks to demystify Dodd-Frank. [read post]
14 Jan 2012, 7:23 am
The recently enacted Dodd-Frank Wall Street Reform and Consumer Protection Act1 (Dodd-Frank) breaks from some conventional patterns in granting potential bounty awards and creating employment protection against retaliation for those who “blow the whistle” in matters involving securities, commodities and futures, and consumer financial products. [read post]
10 May 2010, 5:10 am
If Frank is correct, that claim should have been a death sentence for the program. [read post]
1 May 2018, 9:05 pm
The Supreme Court has agreed to review Frank v. [read post]
12 Feb 2011, 7:08 am
What is the gist of the Dodd-Frank bounty program? [read post]
12 Feb 2011, 7:38 am
What is the gist of the Dodd-Frank bounty program? [read post]
16 Nov 2018, 7:31 am
Paul Frank Mauceli Jr. [read post]
5 Apr 2012, 4:11 am
SEC Issues Latest Dodd-Frank Mandated Report on Revamping the Agency While we didn't see a flood of Dodd-Frank Act rulemaking in the first quarter of 2012 (there was one proposed rule relating to identity theft red flags, a final rule providing exemptions for securities-based swaps discussed below, changes to the net worth standard for accredited investors, and rules regarding investment adviser performance fees), the Staff did deliver the second of four reports to Congress… [read post]
21 Jan 2013, 6:40 am
Other posts about the Dodd-Frank Act are available here. [read post]
24 Jun 2011, 8:28 pm
Marshall summoned Frank Capra, the Hollywood director, and asked him to prepare a series of orientation films for viewing by American troops.... [read post]
22 Mar 2011, 4:09 am
A couple of recent studies on SOX and Dodd-Frank suggest that at least some of this regulation has made things worse. [read post]
18 Dec 2012, 10:26 am
FRANCIS MOURNS PASSING OF FRANK J. [read post]
18 Aug 2011, 12:23 pm
Representative Barney Frank of Massachusetts called on the Federal Reserve to hold public hearings to examine the possible deal's impact on consumers and the economy. [read post]
7 Sep 2010, 2:13 pm
On the Concurring Opinions Blog, Frank Pasquale highlights and reviews what sounds like a good/interesting book: Kim Bobo, Wage Theft in America (2008). [read post]
27 May 2011, 3:13 pm
FSD/POR: Frank Sinatra Doesn’t Prefer Orville Redenbacher – Fee simple determinable and possibility of reverter are always together. [read post]
25 Sep 2014, 5:28 am
Franke had earlier withdrawn from a formal invitation to the Illinois campus as part of the boycott.) [read post]
20 Oct 2011, 5:17 pm
A Manhattan fund-raiser for Representative Barney Frank was hosted and attended by Wall Street bankers. [read post]
15 May 2012, 1:09 pm
On Tuesday, the House Agriculture Committee postponed a hearing on three bills that aim to ease crucial aspects of the Dodd-Frank financial regulatory overhaul. [read post]
