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9 Jul 2018, 12:38 pm
Photo by Alyse & RemiPossibly lost in the heat of summer and the false narrative that the Economic Growth, Regulatory Relief, and Consumer Protection Act had somehow repealed the Dodd-Frank Act, the recent Act, which was signed into law on May 24th, has a few provisions impacting the securities laws. [read post]
29 Sep 2010, 12:07 pm
Thus, Congress must consider the best way to change the tone at SIPC and refocus this body on maintaining confidence in the financial system and promoting investor protection. [read post]
8 Feb 2011, 8:44 am
The role of Organizational Ombuds in this changing landscape is rarely considered and largely uncertain. [read post]
22 Sep 2011, 6:35 am
Jim Copland speaks with Harvey Pitt, former chairman of the Securities and Exchange Commission, about shareholder proposal trends over the last four years and how the SEC has changed since Dodd-Frank. [read post]
9 Dec 2022, 6:34 am
Investment Manager Say-on-Pay Vote Disclosure The first part of the SEC’s final rules implements a mandate from the Dodd-Frank Act. [read post]
9 Dec 2022, 6:34 am
Investment Manager Say-on-Pay Vote Disclosure The first part of the SEC’s final rules implements a mandate from the Dodd-Frank Act. [read post]
5 Feb 2008, 5:40 am
I've worked with Frank for a number of years and those in Connecticut may know Frank from his prior company, Decision Strategies. [read post]
15 Apr 2016, 10:09 am
The University of Copenhagen Faculty of Law hosts the International Conference on Maritime Actors and Climate Change: Incentives and Strategies for Voluntary Action June 20-21, 2016. [read post]
1 Jul 2010, 4:59 pm
Thus, changes made on the conference committee to the section of the bill regulating capital and margin requirements for swap dealers and major swap participants should not be construed as changing this important congressional intent to protect end users. [read post]
5 Nov 2017, 9:04 pm
François Gemenne, The refugees of the Anthropocene Frank Biermann & Ingrid Boas, Towards a Global Governance System to Protect Climate Migrants: Taking Stock Ilona Millar & Kylie Wilson, Towards a Climate Change Displacement Facility Susan F. [read post]
28 Jul 2022, 6:56 am
Pix Credit here Frank S. [read post]
13 Feb 2012, 2:07 pm
Securities are bought, held and sold in the expectation of profits from changes in market prices. [read post]
27 Apr 2017, 8:22 am
” The chairman explained that the CHOICE Act would restore market discipline as a substitute for regulations while also changing the structure of the Consumer Financial Protection Bureau, which Hensarling called a “rogue agency. [read post]
22 Jan 2020, 11:03 am
The California Chamber of Commerce employment law team has been on the road throughout January, conducting Employment Law Updates seminars and explaining changes that transpired over the previous year that impact workplace practices and policies. [read post]
24 Jul 2013, 1:27 pm
As Enforcement Director Meister has further commented, the additional powers the Dodd-Frank legislation gave the CFTC have "changed the game" by broadening the CFTC’s jurisdiction, expanding reporting requirements, prohibiting additional trading practices, and easing intent requirements for proving certain CEA violations. [read post]
6 Jan 2012, 11:11 am
Required by the Dodd-Frank legislation enacted in 2010, the accredited investor standard is intended to protect less sophisticated investors in less regulated investments. [read post]
16 May 2011, 1:51 am
Changes Already Underway Though many of the rulemakings required by the Dodd Frank Act have fallen behind schedule, a number of the implementing rules already are in place and are already driving changes. [read post]
29 Nov 2010, 5:24 pm
That figure does not even include the $1.6 trillion with finance companies, the $1.9 trillion with securities brokers, the $1.8 trillion with hedge funds or the $1.5 trillion in private equity and venture capital, all of which might also be considered part of, up until Dodd-Frank, the largely unregulated shadow banking system that former Fed Chair Paul Volcker warned about.The changes in how the financial system intermediates money is only part of the story, he continued, as there… [read post]
5 Nov 2010, 1:04 pm
House of Representatives this week, governance observers don't expect to see a significant change in corporate governance. [read post]
7 Apr 2011, 1:23 pm
Because the current policy is effective, the MFA reasoned that the Commission’s proposed changes are unnecessary and may have severe unintended consequences. [read post]
