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11 Dec 2014, 1:35 am
But a spate of recent federal court decisions are split about the reach of those protections.The three-judge panel on Monday ruled that Dodd-Frank did not invalidate an earlier employment agreement between a unit of TD Ameritrade Holding Corp and Boris Khazin, who worked in the firm's compliance group, to arbitrate employment-related disputes through the Financial Industry Regulatory Authority's system.Employment agreements that brokers and other brokerage employees sign when… [read post]
10 Jul 2013, 12:53 am
In the aftermath of a federal court ruling vacating the SEC’s Dodd-Frank resource extraction disclosure rule, Senator Ben Cardin (D-MD) has reaffirmed his belief in the public disclosure of annual reports of resource extraction payments that energy companies may have made to governments. [read post]
14 Mar 2017, 10:29 am
As such, under Franks, the evidence must be suppressed.Murguia dissented. [read post]
3 Apr 2014, 6:00 am
With respect to civil penalties, the CFPB has taken the position that it may seek penalties under both the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) and ILSA. [read post]
13 Oct 2015, 7:58 am
Circuit’s ruling that the Dodd-Frank Act did not authorize retroactive application of provisions barring an individual or entity from associating with municipal advisors or statistical rating organizations. [read post]
28 Dec 2014, 9:00 am
The Basics: Dodd-Frank v. [read post]
17 Jan 2014, 9:00 am
We’ve seen a number of interesting stories and summaries cross our desk: Ben James of Law360 published a thorough recap of the lingering questions about Dodd-Frank’s whistleblower protections. [read post]
16 Aug 2013, 5:47 am
On July 12, 2013, the US Commodity Futures Trading Commission (“CFTC”) approved the issuance of an interpretive guidance and policy statement (the “Guidance”) regarding the crossborder application of the swaps provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”). [read post]
27 Jun 2014, 5:23 am
As I recall, Chairman Frank predicted this at the time of the enactment of Dodd-Frank Act. [read post]
26 Aug 2014, 2:31 pm
The rules also would revise the shelf offering process and eligibility criteria for asset-backed securities.The SEC originally proposed the ABS revisions on April 7, 2010, but the Dodd-Frank Act, enacted in July 2010, required the SEC to adopt a number of additional ABS-related rules. [read post]
10 Mar 2014, 6:25 am
On February 18, 2014, the Board of Governors of the Federal Reserve System (the “FRB”) approved a final rule (the “Final Rule”) implementing certain of the “enhanced prudential standards” mandated by Section 165 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act” or “Dodd-Frank”). [read post]
11 Jan 2015, 6:00 am
On December 13, 2014, the US Senate passed an appropriations bill for the President’s signature that included a provision to roll back much of Dodd-Frank’s section 716 (i.e., the Swaps Push-Out). [read post]
19 May 2014, 4:26 pm
Although the Dodd-Frank Act specified that end-users should not be treated the same as banks and in many instances should not be subject to the same registration and margin requirements as other market participants, noted Senator Chambliss, the Ranking Member on the Ag Committee, the CFTC has not exempted true derivative end-users from the margin requirements applied by Dodd-Frank to many derivatives contracts. [read post]
7 Oct 2015, 9:30 pm
In the wake of Dodd-Frank, however, he finds that only 38% of banks now offer free checking accounts. [read post]
19 Jan 2023, 7:03 am
Doing so would also comply with the Dodd-Frank statutory mandate.NRSRO names. [read post]
1 Nov 2016, 9:45 am
The amicus brief argues that Dodd-Frank’s anti-retaliation provision is ambiguous. [read post]
9 Feb 2016, 7:47 am
The court also dismissed the employee’s Dodd-Frank anti-retaliation claim, finding the Fifth Circuit’s reasoning in Asadi v. [read post]
23 Feb 2015, 1:55 pm
Neither Fried Frank nor Dabney appeared on the reply brief as counsel for Teles AG. [read post]
12 Oct 2019, 6:30 am
Glocks), to highlight the doctrinal implications of what Franks calls the fundamentalist approach to the First Amendment. [read post]
15 Apr 2011, 10:10 am
This is in addition to the reforms effected by the Dodd-Frank Act in the area of rating agencies. [read post]
