Search for: "Wall Street Financial Corporation"
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3 Dec 2010, 10:18 am
With the redrawing of jurisdictional lines pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act, these proposed rules are likely to be of interest to hundreds of investment advisers previously registered with the Securities and Exchange Commission. [read post]
28 Nov 2022, 9:02 am
What employees did wrong The Wall Street Journal reported that in many instances, supervisors not only knew of the unauthorized communications, but they also encouraged them. [read post]
21 Nov 2022, 9:02 am
What employees did wrong The Wall Street Journal reported that in many instances, supervisors not only knew of the unauthorized communications, but they also encouraged them. [read post]
31 Dec 1969, 4:00 pm
Wall Street wants to pretend it will behave responsibly if left unregulated. [read post]
24 Mar 2011, 7:07 am
On Feb. 7, 2011, the Federal Deposit Insurance Corporation (FDIC) approved a proposed rule regarding incentive-based compensation at covered financial institutions pursuant to Section 956 of the Dodd-Frank Wall Street and Consumer Protection Act, 12 U.S.C. [read post]
4 Aug 2010, 5:00 am
The Dodd-Frank Wall Street Reform Act and a short Summary of the legislation are posted online. [read post]
25 Jun 2010, 9:22 am
A House-Senate conference committee has reported out the Dodd-Frank Wall Street Reform and Consumer Protection Act providing for a sweeping overhaul of the regulation of US financial services and markets. [read post]
18 Jan 2009, 5:55 pm
In the second TaxProf post, Caron quotes an op-ed appearing in the Wall Street Journal that argues that the best way to create more jobs is to eliminate the corporate income tax entirely: The quickest way to strengthen the credit system and begin the end of this crisis is to get money into the economy for true job creation, and not into government work programs. [read post]
8 Jul 2020, 7:20 am
Scott worked at a Wall Street defense firm for many years representing many small and regional brokerage firms. [read post]
8 Nov 2011, 9:13 pm
The New York Times recently identified nineteen repeat offenders, all high-profile Wall Street firms. [read post]
22 Apr 2010, 2:07 pm
I accept that Wall Street "reform" is a political necessity. [read post]
28 Aug 2011, 2:42 pm
As John Gapper has argued: The behaviour revealed in the JPMorgan and Goldman cases is a product of the conflicts of interest embedded in how integrated Wall Street banks work. [read post]
23 Apr 2009, 4:20 am
Congress enacted them in response to the country's greatest financial crisis to date. [read post]
8 Jul 2010, 4:42 am
An article in today's Wall Street Journal titled "Bloomberg Hangs New Shingle" tells the story. [read post]
2 Jan 2024, 6:30 am
In response to concerns about excessive risk-taking and misleading valuation practices in the hedge fund industry, Congress enacted the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “DFA” or “Dodd-Frank”) in July 2010. [read post]
2 Jan 2024, 6:30 am
In response to concerns about excessive risk-taking and misleading valuation practices in the hedge fund industry, Congress enacted the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “DFA” or “Dodd-Frank”) in July 2010. [read post]
25 Oct 2011, 10:09 am
In n+1, Penny Lewis, of the Murphy Institute for Worker Education and Labor Studies, writes about unions and Occupy Wall Street: “It’s been a long time—since Seattle 1999—that so many US unions have thrown their support behind the kind of anti-corporate direct action we’re seeing in Zuccotti Park. [read post]
16 Dec 2010, 9:51 am
These two models provide a stark choice for the SEC as it sets up its program.Don't Let Wall Street Get Away With It: Protect and Reward SEC Whistleblowers notes that corporate lobbyists and bureaucrats have predicted woeful consequences for whistle-blower programs in the past. [read post]
8 Jan 2009, 4:35 am
After an engaging explanation of the central legal hooks that prosecutors might sink into wrongdoers, Parloff briefly surveys each of the central corporate players. [read post]
14 Sep 2009, 10:17 pm
Cioffi and Tannin are charged in the only major prosecution to date arising out of the collapse of numerous Wall Street firms beginning in 2007. [read post]
