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9 Oct 2011, 3:00 am
"Occupy Seattle", a thinly-attended offshoot of Occupy Wall Street, has been going on across the street from my office this last week. [read post]
10 May 2007, 11:01 am
In response to the post about the SEC's early days, I would add that back in 1934 when these policies were officially adopted, most Americans were not shareholders of stock and most Americans were fairly ignorant of Wall Street ways. [read post]
25 Jun 2015, 2:26 pm
Section 342 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 mandated that each agency establish an Office of Minority and Women Inclusion to establish these standards as well as be responsible for all matters of the agency relating to diversity in management, employment, and business activities. [read post]
14 Oct 2014, 5:05 am
Most of these statutes, however, provide important exceptions for certain types of financial services industry employers, and / or recognize that financial services employers may have certain criminal background screening obligations imposed by federal law or FINRA The pace of monetary awards by SEC under the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) whistleblower program has increased in 2014; the most recent of… [read post]
14 Oct 2014, 5:05 am
Most of these statutes, however, provide important exceptions for certain types of financial services industry employers, and / or recognize that financial services employers may have certain criminal background screening obligations imposed by federal law or FINRA The pace of monetary awards by SEC under the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) whistleblower program has increased in 2014; the most recent of… [read post]
16 Aug 2012, 1:10 pm
So says Gordon Gekko in the movie Wall Street. [read post]
20 Jul 2013, 9:48 am
TweetGAO’s Accredited Investor Study Section 415 of the Dodd-Frank Wall Street Reform and Consumer Protection Act requires that the Government Accountability Office “conduct a study on the appropriate criteria for determining the financial thresholds or other criteria needed to qualify for accredited investor status and eligibility to invest in private funds … ” by the third anniversary of the Act’s enactment (or July 21, 2013; it’s… [read post]
19 Nov 2009, 3:35 pm
 Although we have had a surfeit of bankers and a surfeit of talent in financial engineering rather than, say, robotics, it is very scary to see the “silver linings†analyses talking about how it is such a good thing that smart Harvard or MIT students will no longer go to Wall Street, but will instead enrich elementary education or nursing or mountain-guiding. [read post]
14 May 2009, 10:49 am
Ineptitude on Wall Street. [read post]
28 Sep 2009, 8:00 pm
Let Congress know that Main Street isn't going to just sit back while Wall Street tries to stop real reform! [read post]
18 Jan 2012, 5:32 am
Deregulation, and a 17-year bull market that inflated Wall Street salaries, and tax revenues right along with them. [read post]
14 Oct 2011, 3:00 am
Senate Republicans must be feeling the heat of Herman Cain's insistence that he has a three-step plan to completely remodel the U.S. tax system and the report in the Oct. 13, 2011 Wall Street Journal that twice as many Americans have a favorable view of the Occupy Wall Street groups as have a negative view of them. [read post]
30 Sep 2017, 7:29 am
Yesterday, the United States Chamber of Commerce and a coalition of corporate business lobbying groups filed a lawsuit in the Northern District of Texas seeking to enjoin the Consumer Financial Protection Bureau (“CFPB”) from enforcing a new rule that prohibits most financial service providers from requiring consumers to sign mandatory arbitration agreements that bar class-action lawsuits. [read post]
8 Mar 2010, 1:32 am
" A March 6, 2010 Wall Street Journal article further discussing Aguilar’s views can be found here. [read post]
16 Nov 2012, 7:03 am
The SEC’s report, which is required by the Dodd Frank Wall Street Reform and Consumer Protection Act, summarizes the activities of the SEC’s Office of the Whistleblower. [read post]
25 Apr 2022, 5:58 am
Congress passed the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”). [read post]
25 Apr 2022, 5:58 am
Congress passed the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”). [read post]
8 Mar 2011, 10:53 pm
According to "Rewriting Pension History" by Michael Rapoport (Wall Street Journal, March 9, 2011, several large multinational corporations are changing the way they report retirement plan numbers. [read post]
9 Feb 2015, 11:18 pm
Yesterday the Securities and Exchange Commission announced the adoption of proposed rules to implement Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act which addresses disclosure of company policies related to employee and director hedging transactions. [read post]
9 Feb 2015, 11:18 pm
Yesterday the Securities and Exchange Commission announced the adoption of proposed rules to implement Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act which addresses disclosure of company policies related to employee and director hedging transactions. [read post]
