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14 Oct 2011, 6:08 pm
The CFTC will also seek public input on the application of Section 722(d) of the Dodd-Frank Act, which says that the law doesn’t apply to activities outside the United States unless those activities have a direct and significant connection with activities in, or effect on, U.S. commerce.Finally, he said that the CFTC is seeking inclusion as an Ordinary member of IOSCO. [read post]
29 Apr 2014, 2:13 pm
Franks itself. [read post]
12 Sep 2019, 10:02 am
“If you call your payroll hotline…they will tell you a federal rule, they will not tell you the rule that is applicable in your state. [read post]
13 Jan 2014, 9:59 am
The DC Circuit court of appeals heard oral argument in a case posing a challenge to the SEC regulations implementing the conflict minerals provisions of the Dodd-Frank Act. [read post]
28 Dec 2016, 9:17 am
Applicants for the positions must submit a complete application package on or before March 1, 2017 to be considered for membership. [read post]
11 Sep 2007, 9:47 pm
"Two and a half years ago more than half of our customers were financial, energy and healthcare organisations that had laws requiring them to log these conversations," said Frank Cabri, vice president of marketing at IM security firm Facetime. [read post]
8 Aug 2012, 4:26 pm
In addition, the Senate Committee Report accompanying the Act clarified that the standards and requirements must increase in stringency as appropriate in relation to certain characteristics of the company, including its size and complexity.The proposal requests input regarding the appropriate scope of application for a SIFI capital surcharge, and Senators Brown and Vitter noted that all SIFIs are not created equal, and, when crafting capital surcharges in accordance with Basel III and… [read post]
5 Nov 2020, 12:44 pm
According to the CFTC Whistleblower 2020 Annual Report, during the past year, the Commission: Issued 11 final orders granting 16 applications for whistleblower rewards Paid “approximately $20 million” to successful whistleblowers Issued 61 final orders denying 80 additional applications for whistleblower rewards on the grounds that the applicants did not meet the program’s requirements Received a record-high 1,030 new whistleblower submissions using the… [read post]
17 Jun 2011, 10:22 am
In his opening remarks, Committee Chairman Spencer Bachus (R-Ala) said, now that the rest of the world has rejected the call to impose similar proprietary trading bans, he is concerned about the effect the unilateral application of the Volcker Rule will have on the liquidity and vibrancy of the US capital markets. [read post]
4 Mar 2014, 11:47 am
As a result, despite Section 913 of the Dodd-Frank Act’s authorization of the SEC to establish a fiduciary duty for brokers “no less stringent than the standard applicable to investment advisers,” no such standard seems imminent at this time. [read post]
5 Feb 2009, 6:42 am
They have issued a press release advising that they have taken action against Pignatelli to suspend his license in Colorado because of allegedly fraudulent statements in his application. [read post]
10 Jun 2008, 8:18 pm
From a release today:Indiana Supreme Court Justice Frank Sullivan, Jr., who chairs the St. [read post]
9 Sep 2011, 4:50 pm
It is also applicable to enforcement actions that the OCC may take against bank service companies under 12 USC 1861. [read post]
10 Dec 2018, 7:04 pm
EveryCRSReport.com: Right to Try: Access to Investigational Drugs, November 27, 2018 – “The Trickett Wendler, Frank Mongiello, Jordan McLinn, and Matthew Bellina Right to Try (RTT) Act of 2017 became federal law on May 30, 2018. [read post]
18 Nov 2024, 7:53 pm
Evaluations of narrative accounts of creditworthiness are plausible in at least some scenarios, despite the volume of credit applications. [read post]
1 Nov 2024, 12:25 pm
Evaluations of narrative accounts of creditworthiness are plausible in at least some scenarios, despite the volume of credit applications. [read post]
27 Dec 2007, 5:29 am
(If there were a rule for the application of a rule, then what would the rule be for the application of the rule for the application of a rule, and so on to the infinite regress.) [read post]
5 Mar 2014, 3:43 am
Frank B. [read post]
29 Jun 2011, 9:03 am
Frank Cowan Co., [2002] O.J. [read post]
15 Sep 2010, 5:03 pm
The Securities and Exchange Commission has adopted a final rule to implement Section 989G of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Release No. 33-9142 http://www.sec.gov/rules/final/2010/33-9142.pdf). [read post]
