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23 Jan 2008, 11:58 pm
Frank Pallone Jr., said in a statement that the bill is intended to rein in U.S. [read post]
22 Oct 2012, 3:10 am
CPLR 213 (8), 203 (f); see, Trepuk v Frank, 44 NY2d 723, 405 NYS2d 452, 376 NE2d 924 (1978). [read post]
11 Jan 2012, 11:39 am
As Ann Carlson and Rick Frank have previously blogged, on December 29th 2011, U.S. [read post]
24 Jan 2024, 4:29 pm
On September 29, Goldman Sachs, JP Morgan, and Bank of America agreed to pay a total of roughly $53 million to settle CFTC charges relating to a variety of swap dealer activities including failures related to swap data reporting. 10 — Exelon (SEC). [read post]
1 Sep 2020, 3:35 pm
The regulations also address how entities, including trusts, banks and charitable organizations, qualify as accredited investors. [read post]
19 Sep 2016, 2:43 pm
And more to the point it requires a willing and able local authority to bank roll it. [read post]
10 Oct 2010, 9:31 pm
Andrew Sheng, Chief Advisor to the China Banking Regulatory Commission, puts it in a nutshell: there was massive private gain in the US financial sector leading to massive public loss. [read post]
8 Dec 2017, 6:10 am
., on Monday, December 4, 2017 Tags: Compensation disclosure, Compensation ratios, Compliance and disclosure interpretation, Disclosure, Dodd-Frank Act, Executive Compensation, International governance, Proxy disclosure, Regulation S-K Contract Rights and Spin-off Transactions Posted by Daniel E. [read post]
16 Apr 2011, 3:26 pm
Without a safe harbor, reasoned the groups, swap dealers and major swap participants would be placed in the untenable position of having to interpret the “reasonable basis to believe” requirement conservatively and conduct extensive diligence, since the Dodd-Frank Act would make them primary violators where their counterparties improperly used the end-user exception. [read post]
16 Mar 2018, 4:47 am
Cope, Schain, Banks, Kenny & Schwartz, Ltd., Chicago, IL Maurice D. [read post]
19 Sep 2007, 1:50 am
Companies in sectors with low greenhouse gas emissions, including insurance companies and banks, had especially poor disclosure. [read post]
29 Jun 2012, 11:04 am
Most of these catchphrases or re-brands are thought up by a guy named Frank Luntz. [read post]
7 Feb 2011, 5:00 am
In the aftermath of the financial crisis, many commentators agree that existing coordination mechanisms did not live up to expectations in pivotal areas such as bank capital standards. [read post]
28 Apr 2022, 9:02 pm
The Consumer Financial Protection Bureau (CFPB) announced that it will begin examining non-bank financial companies that it believes pose a risk to consumers, based on its authority under the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
8 Oct 2007, 9:04 am
Robert Frank explains it in this book. [read post]
10 Jul 2020, 7:39 am
Supreme Court’s decision last week in Seila Law which held that the Dodd-Frank provision that only allows the President to remove the CFPB Director “for cause” violates the separation of powers in the U.S. [read post]
4 Sep 2020, 6:31 am
Rosenberg, Fried, Frank, Harris, Shriver & Jacobson LLP, on Wednesday, September 2, 2020 Tags: Broker-dealers, Compliance & ethics, Compliance and disclosure interpretation, COVID-19, Cybersecurity, Investment advisers, Investor protection, OCIE, Privacy, Risk, SEC, Securities regulation Performance-Induced CEO Turnover Posted by Dirk Jenter (LSE) and Katharina Lewellen (Dartmouth College), on Wednesday,… [read post]
15 Jan 2015, 8:49 am
In each case, money was borrowed for the higher-priced sale and the bank was not informed of the short sale, which occurred at about the same time. [read post]
27 Aug 2011, 8:23 am
Frank E. [read post]
6 Mar 2018, 11:35 am
Jendruck was not employed at the time of trial but had previously worked at a bank for 20 years and operated a daycare from her home. [read post]
