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12 May 2022, 7:50 am
New Jersey law firm Petro Cohen, P.C. has created a scholarship available to students who will be enrolled at Rutgers Law School in Camden for the Fall 2022 semester, senior partner Frank Petro announced today. [read post]
30 Jul 2012, 7:23 pm
Professor Frank Bennett of Nagoya University Graduate School of Law has posted Multilingual Zotero: jurisdictions, and much else, at CitationStylist. [read post]
30 Aug 2011, 4:50 pm
Deloitte urged the SEC to clarify the independence standards applicable to the audit of the report and specifically clarify that the independence of the external auditor of the company’s financial statements would not be impaired if the same auditor performed an audit of the Conflict Minerals Report Grant Thornton noted that the proposal, consistent with the Dodd-Frank Act, indicates that the independent audit is a critical component of due diligence. [read post]
1 Aug 2010, 11:21 am
Prior to the Dodd-Frank Act, continued the Chair, regulated entities not infrequently refused to provide Commission examiners with sensitive information due to their fears of ultimate public disclosure.Existing FOIA exemptions were insufficient to allay concerns due in part to limitations in FOIA, including that certain existing exemptions may not apply to all registrants and the fact that FOIA exemptions are not applicable when the SEC must respond to a subpoena as either a party… [read post]
10 Jan 2011, 10:35 am
The group also requested the Commission to confirm that the affirmative defenses under Rule 10b5-1(c) are applicable to security-based swaps. [read post]
20 Mar 2009, 11:07 am
Because this is a generally applicable law, banks' preemption defense is much weaker; banks are subject to generally applicable laws on contracts, torts, debt collection, etc. [read post]
9 Aug 2010, 5:01 am
Frank M. [read post]
28 Feb 2011, 6:20 pm
Creating reporting exceptions would also risk creating loopholes that could undermine a level playing field for all covered issuers.The proposal notes that the term "project" is not defined in Dodd-Frank and asks if a definition is needed. [read post]
29 Mar 2011, 10:22 am
Consistent with the securitization and ``skin in the game’’ risk retention provisions of Dodd-Frank, the SEC and the Federal banking agencies will propose regulations this week requiring securitization sponsors to retain an economic interest equal to at least 5 percent of the aggregate credit risk of the assets collateralizing an issuance of asset-backed securities. [read post]
21 Nov 2014, 4:24 am
The report, which the SEC is required by the Dodd-Frank Act to provide to Congress annually, is entitled the “2014 Annual Report to Congress on the Dodd-Frank Whistleblower Program” and can be found here. [read post]
7 Jul 2012, 4:23 pm
Judge Atlas found that the language of the Dodd-Frank Anti-Retaliation Provision is silent about its extraterritorial applicability and held that there is a “presumption that the Provision does not govern conduct outside the United States. [read post]
7 Jul 2012, 4:23 pm
Judge Atlas found that the language of the Dodd-Frank Anti-Retaliation Provision is silent about its extraterritorial applicability and held that there is a “presumption that the Provision does not govern conduct outside the United States. [read post]
17 May 2017, 9:50 am
The Dodd-Frank amendments to ECOA require financial institutions to compile, maintain, submit annually to the CFPB, and generally make available to the public upon request, the following information about small business loan applications: Application number; Application data; Type and purpose of financing; Amount applied for; Amount approved; Type of action taken and action taken date; Census tract of the principal place of business; Gross annual revenue in the… [read post]
17 Jun 2012, 6:27 am
“Most of the issues raised by the defendant are legitimate jury issues for the jury to consider in assessing whether or not the offender is guilty of the crime charged, but they do not meet the Franks standard for an evidentiary hearing on this warrant application. [read post]
28 Feb 2018, 3:38 pm
On appeal, the Ninth Circuit affirmed, ruling that that application of the textual definition leads to absurd results. [read post]
29 Jul 2020, 12:36 pm
Thus, the point of the Regulation Best Interest rule was to establish a “best interest” standard of conduct applicable to broker-dealers when making a recommendation of a securities transaction to a retail customer. [read post]
2 Mar 2018, 3:51 pm
For employers, the past two weeks have included several notable decisions: Dodd-Frank Does Not Protect In-House Whistleblowers Last Wednesday, on February 21, 2018, the United States Supreme Court unanimously held that the anti-retaliation provision of the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) does not apply to employees who report alleged violations internally. [read post]
6 Oct 2011, 1:36 pm
The SEC listed 15 new actions that are covered under the Dodd-Frank Act today. [read post]
1 Aug 2012, 1:06 pm
Dodd-Frank Among other reforms, Dodd-Frank created the Consumer Financial Protection Bureau (CRPB) and the Federal Insurance Office (FIO). [read post]
23 May 2011, 6:38 am
The proposed rule, Walsh said, will clarify application of identical standards for banks and thrifts under the National Bank Act and the Home Owners Loan Act. [read post]
