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28 Dec 2023, 9:03 am
The bill bolsters the Dodd-Frank Act’s anti-retaliation protections and ensures that the agency processes award claims in a more timely manner. [read post]
22 Dec 2023, 3:00 pm
The bill bolsters the Dodd-Frank Act’s anti-retaliation protections and ensures that the agency processes award claims in a more timely manner. [read post]
15 Dec 2023, 9:51 am
Note that 99% of all investors in Regulation D offerings (by far the most popular fundraising vehicle for early stage enterprises) are, per SEC estimates, defined as accredited. [read post]
3 Dec 2023, 9:05 pm
The Dodd-Frank Wall Street Reform and Consumer Protection Act (“DFA”) was signed into law in July 2010. [read post]
15 Nov 2023, 9:22 am
The SEC Whistleblower Program was established in 2010 with the passage of the Dodd-Frank Act (DFA). [read post]
15 Nov 2023, 6:26 am
The SEC settled charges against registered investment adviser D. [read post]
14 Nov 2023, 9:01 pm
The Securities and Exchange Commission announced that it filed 784 total enforcement actions in fiscal year 2023, a 3 percent increase over fiscal year 2022, including 501 original, or “stand-alone,” enforcement actions, an 8 percent increase over the prior fiscal year. [read post]
14 Nov 2023, 9:04 am
During the 2023 Fiscal Year, the Dodd-Frank Act whistleblower programs of the U.S. [read post]
13 Nov 2023, 9:05 pm
In a statement explaining the rationale for the Council’s revised approach, Treasury Secretary Janet Yellen, who chairs the FSOC, argued that the Interpretive Guidance “eliminates several prerequisites to designation in place under the [2019 Interpretive Guidance] that were not contemplated by the Dodd-Frank Act and that are based on a flawed view of how financial risks develop and spread. [read post]
2 Nov 2023, 9:01 pm
I’d like to give my thanks to many members of Congress and officials from the Obama Administration who worked on the Dodd-Frank provisions regarding swap execution facilities as well as swaps market reforms more broadly. [read post]
31 Oct 2023, 3:30 am
The complaint – which seeks permanent injunctions, disgorgement, a D&O bar, and civil penalties – lists internal communications and documents that the SEC says reflected known vulnerabilities that were not properly disclosed. [read post]
25 Oct 2023, 3:45 pm
The bill bolsters the Dodd-Frank Act’s anti-retaliation protections and ensures that the agency processes award claims in a more timely manner. [read post]
24 Oct 2023, 9:01 pm
I’d like to start by returning to a theme that I’ve touched on before, and that is how public trust in our institutions is faltering.[1] No sector is immune from this trend. [read post]
20 Oct 2023, 6:30 am
Proxy Season: Proxy Voting, Governance, and ES Matters Posted by Laura D. [read post]
20 Oct 2023, 6:30 am
Proxy Season: Proxy Voting, Governance, and ES Matters Posted by Laura D. [read post]
18 Oct 2023, 2:55 pm
The D&O insurance marketplace is built around a basic premise that private and public companies are fundamentally different. [read post]
16 Oct 2023, 7:48 am
This rulemaking fulfills a Dodd-Frank Act mandate to increase the transparency of information available to brokers, dealers, and investors. [read post]
15 Oct 2023, 9:03 pm
I’d like to thank members of the SEC staff for their work on these final rules, including: Haoxiang Zhu, David Saltiel, Andrea Orr, Carol McGee, Josephine Tao, Timothy M. [read post]
11 Oct 2023, 11:17 am
Because Cantero’s mortgage pre-dated Dodd-Frank, the U.S. [read post]
11 Oct 2023, 8:12 am
This is part of a series of WNN exclusives on whistleblower awards paid out by the U.S. [read post]
