Search for: "Walling v. Frank"
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28 Jun 2017, 3:59 am
Somers, which involves the whistleblower provisions of the 2010 Dodd-Frank financial law. [read post]
6 Jan 2017, 6:26 am
Inc. v. [read post]
9 Jan 2024, 9:05 pm
Scis., Inc. v. [read post]
16 May 2014, 10:01 am
” He signed those emails “Best, Frank Cross. [read post]
1 Aug 2019, 11:54 am
Weil, Frank, Hughes, Wagner. [read post]
20 Mar 2017, 8:39 am
Circuit in PHH Corporation v. [read post]
8 Apr 2012, 10:00 pm
Regulations: The CFTC published a final rule: Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants, on April 3, completing a number of proposed rules implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
31 May 2016, 3:34 am
” Public companies also face additional rules, notably those imposed by the Sarbanes-Oxley of 2012 and the Dodd-Frank Act. [read post]
1 Feb 2017, 4:48 am
” At Bloomberg BNA, Chris Marr looks at American Business USA Corp. v. [read post]
20 Apr 2012, 10:23 pm
These entities were created under the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
3 Apr 2017, 4:09 am
” At the Cato Institute’s Cato at Liberty blog, Ilya Shapiro and Frank Garrison weigh in on last week’s decision in Expressions Hair Design v. [read post]
5 Jan 2012, 12:35 pm
In Thompson v. [read post]
4 Nov 2014, 2:48 pm
(Priever v. [read post]
9 May 2012, 7:00 am
In response to Morrison, Congress added Section 929P(b) to the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”), which restored the conduct and effects tests for civil and criminal actions brought by the SEC and the Department of Justice (“DOJ”), respectively. [read post]
22 Dec 2013, 5:18 pm
Dodd-Frank Uniform Fiduciary Standard - Among many other provisions, the "Dodd-Frank Wall Street Reform and Consumer Protection Act" (Dodd-Frank) directed the SEC to study the need for a new, uniform fiduciary standard of care for broker-dealers and investment advisers and to apply such a uniform standard if it deemed necessary. [read post]
10 Jan 2011, 4:39 pm
The protocol is a step towards resumption by the PCAOB of inspections of U.K. auditors for the first time since 2008.The protocol also is the first cooperative agreement entered under the PCAOB's new authority to work with foreign regulators under the Dodd-Frank Wall Street Reform and Consumer Protection Act.Dodd-Frank Act Section 981 updated the Sarbanes-Oxley Act to allow the PCAOB to share information with its foreign counterparts. [read post]
2 May 2011, 8:12 am
Update on Dodd-Frank Investment Adviser Registration Requirements Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), which became law on July 21, 2010, repealed effective July 21, 2011, the private advisor exemption from registration as an investment adviser under the Investment Advisers Act of 1940 (Advisers Act). [read post]
1 May 2014, 8:31 am
” Coverage comes from Jess Bravin for The Wall Street Journal’s Washington Wire. [read post]
22 Dec 2009, 5:26 am
That’s also how that canceled check ended as a primary exhibit in the case of State of Texas v. [read post]
15 Mar 2011, 12:04 pm
While these actions reflect the Commission’s interest in bringing actions against these types of directors, they are consistent with the Commission’s historical practice of pursuing cases against independent directors only when it believes that they personally have engaged in violative conduct or have repeatedly ignored significant red flags One of the actions was brought as an administrative proceeding instead of as a complaint in federal court and illustrates how the… [read post]
