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6 May 2011, 4:44 am
While supporting the Dodd-Frank mandate that company compensation committees must be full independent, the nation's largest public pension fund said that exchanges should not be permitted to establish their own independence standards for compensation committees as part of their listing standards. [read post]
23 Jul 2021, 2:29 am
This appeal arises in the course of long-running proceedings known as the Franked Investment Income (“FII”) Group Litigation. [read post]
30 Jun 2011, 11:42 am
Written by Jay Gould and Michael Wu On June 22, 2011, the Securities and Exchange Commission (SEC) adopted final rules that implement provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) amending the Investment Advisers Act of 1940 (the “Advisers Act”). [read post]
17 Nov 2015, 6:09 am
The congressman also said that the Commission should make waiver applications public, unless it makes a good-cause determination to keep an application under seal. [read post]
16 Sep 2008, 11:40 am
As the redacted application demonstrates probable cause, Murray's second prong is satisfied. [read post]
17 Aug 2020, 5:27 am
This post was prepared by Frank Reynolds, who has been following Delaware corporate law, and writing about it for various legal publications, for over 30 years. [read post]
26 Jul 2018, 12:11 am
For example, the default is that applications are decided on the papers (rather than with the parties all appearing in court which is the norm in the multi track). [read post]
18 Nov 2010, 2:09 pm
Banks and brokers must also be permitted to engage in hedging activities through a flexible application of the Volcker Rule. [read post]
23 Dec 2009, 8:44 am
Defeo and Arrington are mortgage brokers who submitted false loan applications to secure financing. [read post]
20 Jun 2018, 10:00 am
The post NLRB Poised to Revisit Joint Employer Standard appeared first on HRWatchdog by Erika Frank. [read post]
17 Jul 2015, 6:00 am
With the proposal of the clawback rules, the SEC has now proposed or adopted rules to implement all of the Dodd-Frank Act provisions relating to executive compensation. [read post]
4 Aug 2010, 3:21 pm
A one-year transition period will be in effect for these new regulations.The SEC’s oversight of credit rating agencies would also expand considerably under the Dodd-Frank Act, continued Mr. [read post]
26 Jul 2010, 11:36 am
This would be applicable only until the next post-effective amendment to such registration statement and only if no subsequently incorporated periodic or current report contains ratings information that is not limited to issuer disclosure-related ratings information. [read post]
4 Aug 2022, 9:37 am
Hong’s application was denied on the grounds that he had identified no action brought by the Commission under the securities laws based on his information. [read post]
19 Dec 2018, 12:22 pm
GSIBs will continue to be subject to the most stringent prudential standards, with one exception applicable to all US bank holding companies. [read post]
20 Oct 2014, 10:36 am
Perhaps some at the SEC are hoping that if the Republicans take the Senate in a few weeks the applicable provisions of Dodd-Frank – or maybe the whole Act – will be repealed. [read post]
28 Oct 2011, 8:33 am
The CCA dissent says, Since granting review in Martinez, the Supreme Court has stayed the execution of several condemned Texas inmates who argued, as does the applicant today, that the ineffectiveness of initial state habeas counsel with respect to an issue that may be raised for the first time only in a post-conviction application for writ of habeas corpus proceeding ought to justify allowing the inmate to raise that issue for the first time in a subsequent writ… [read post]
21 Mar 2011, 12:18 pm
Gupta is asking the court to block the SEC from bring the case, because he says the retroactive application of the law would violate his right to due process. || More from Deal Book [read post]
4 May 2011, 8:32 am
Despite the delay in final rules and implementation, whistleblowers are currently protected from retaliation and entitled to applicable monetary rewards because Dodd-Frank provided temporary rules applicable for anyone who came forward after July 22, 2010. [read post]
9 Jul 2012, 5:01 am
We are discussing Rule 10C-1, the rule designed to implement the requirements in Dodd-Frank with respect to compensation committees of the board. [read post]
