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18 Jun 2011, 9:15 pm
If it is community property, Frank can buy Jamie out. [read post]
5 Feb 2009, 6:42 am
Pignatelli DENVER – The Colorado Supreme Court Office of Attorney Regulation today announced that it has filed a petition to immediately suspend Colorado lawyer Francis (Frank) M. [read post]
17 Jun 2011, 10:22 am
Chairman Schapiro pointed out that the Financial Stability Oversight Council issued a Dodd-Frank mandated study on the Volcker Rule recommending a supervisory framework for implementing the prohibition on proprietary trading consisting of a programmatic compliance regime, metrics, supervisory review and oversight, and enforcement procedures for violations. [read post]
6 Sep 2019, 9:00 am
And benefits are not just about providing health or dental insurance, Frank adds. [read post]
12 Jan 2012, 11:55 am
Jeff Merkley (D-OR) and Carl Levin (D-MI) introduced the original Volcker Rule as an amendment to the Senate version of Dodd-Frank, but Sen. [read post]
4 Feb 2009, 11:22 pm
Bummer, Frank. [read post]
4 Mar 2014, 11:47 am
Despite the express mandate given to it by Section 913 of the Dodd-Frank Act, the SEC has made slow progress in determining whether to adopt a uniform fiduciary standard rule. [read post]
26 Sep 2014, 12:05 pm
Established by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the Dodd-Frank Act), the CFPB has authority to oversee and regulate entities, such as banks and credit unions, that provide consumer financial products and services. [read post]
30 Nov 2017, 10:06 am
The SEC released its Fiscal Year 2017 Annual Report (the “Report”) to Congress on the Dodd-Frank Whistleblower Program on November 16, 2017. [read post]
30 Sep 2008, 12:18 am
Misinformation from Frank ReCouper, Sr.ReCouper Misinforms:1.Says annuities and structured settlements are regulated by a State Insurance Commissioner. [read post]
29 Sep 2011, 9:22 pm
The Center for Audit Quality and the Council of Institutional Investors oppose pending legislation that would expand the exemption from Sarbanes-Oxley Section 404(b), which requires an independent audit of a company’s assessment of its internal controls as a component of its financial statement audit, beyond the $75 million public float provided by the Dodd-Frank Act. [read post]
10 Apr 2014, 6:26 am
Indeed, as noted in our prior post, some 1,500 previously unregistered fund advisers have registered since this provision of Dodd-Frank became effective. [read post]
29 Nov 2010, 5:24 pm
Referencing the holiday movie It's A Wonderful Live, CFTC Chair Gary Gensler said that in passing the Dodd-Frank Act, Congress determined that it is incumbent upon regulators to update to the reality that we no longer live in George Bailey’s pre-derivatives originate and hold time. [read post]
21 Sep 2012, 4:32 pm
Public advocacy organization groups and nondealer MAs, however, said the revised definition might weaken the government protections that the Dodd-Frank Act provides. [read post]
15 Sep 2011, 11:20 am
The Commission was required by the Dodd-Frank Act to create a position limits rule intended to curb a perceived rise in excessive speculation. [read post]
9 Jul 2010, 9:15 am
It was my second time through and I must say I enjoyed it more than this time than before (not least thanks to some insightful commentary by Joseph Frank, in the abridged version of his five-volume bio of D). [read post]
26 Apr 2011, 5:56 am
Clark’s The Dodd-Frank Act’s Bounty Hunter Provisions, 44 Rev. of Sec. [read post]
18 Oct 2010, 10:04 am
The European Commission and the new, as of January 1, 2011, European Securities Markets Authority have been named observers to the Task Force.Section 752 of Dodd-Frank directs the SEC and CFTC to consult and coordinate with non-US regulators on the establishment of consistent international standards regarding the regulation of swaps and security-based swaps. [read post]
16 Mar 2023, 1:36 pm
Established by the Dodd-Frank Act in 2010, the SEC Whistleblower Program has become the gold standard of whistleblower award programs. [read post]
25 May 2018, 6:28 am
The plaintiffs allege that the defendants conspired to boycott these platforms and instructed their clearinghouse affiliates to refuse to clear trades executed through them, resulting in the defendants controlling 70 percent or more of the IRS market and none of the structural changes intended by Dodd-Frank having been made.In its decision on the defendants’ motions to dismiss in 2017, the court separated the claims into pre-Dodd-Frank (2007-2012) and post-Dodd-Frank… [read post]
