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19 Feb 2016, 8:20 am
On February 17, the Securities and Exchange Commission and the Federal Deposit Insurance Corporation “jointly propos[ed] a rule to implement provisions applicable to the orderly liquidation of covered brokers and dealers under Title II of the Dodd-Frank Act[.] [read post]
13 Apr 2016, 10:17 am
Frank C. [read post]
17 Jun 2014, 4:56 am
As a practical matter, the secrecy shrouding the FISA process renders it impossible for a defendant to meaningfully obtain relief under Franks absent a patent inconsistency in the FISA application itself or a sua sponte disclosure by the government that the FISA application contained a material misstatement or omission. [read post]
28 Jul 2021, 10:01 am
· An applicant must make proper enquiries before making the application. [read post]
10 Jul 2012, 7:46 am
Roberts, Frank C. [read post]
13 Aug 2010, 7:10 am
Though the primary focus of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) is the reduction of systemic risk in financial markets and increased regulation of large financial institutions, Dodd-Frank also contains executive compensation, corporate governance and enforcement provisions applicable to most public companies. [read post]
10 Dec 2009, 2:03 pm
In looking at the statutory criteria for determining whether a financial company should be subjected to stricter prudential standards, he noted, it is hard to visualize the application of these criteria to derivatives and securities exchanges. [read post]
21 Mar 2011, 8:01 am
On the other side of the takeover argument from Wachtell are those who are pushing increased application of federal law to restrict state law regulation of takeovers. [read post]
8 Jun 2023, 3:15 am
Following up on the NYSE amendment that I blogged about yesterday, Nasdaq has now also posted an amendment to its Dodd-Frank clawback listing standard proposal. [read post]
7 Aug 2013, 11:21 am
Here are the details (from an email I received earlier today): The Frank H. [read post]
10 Jul 2012, 9:50 am
House Financial Services Committee Chairman Spencer Bachus (R-AL) kicked off a series of hearings on the two-year experience of the Dodd-Frank Act by urging the Senate to pass legislation, HR 2682, codifying and clarifying the end-user exemption from Dodd-Frank derivatives regulation. [read post]
27 Mar 2014, 9:17 am
Fullerton III and Jason Kaufman Almost four years after it was enacted in 2010, the full impact of the Dodd Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) on the enforceability of predispute arbitration agreements is not completely clear. [read post]
27 Mar 2014, 9:17 am
Fullerton III and Jason Kaufman Almost four years after it was enacted in 2010, the full impact of the Dodd Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) on the enforceability of predispute arbitration agreements is not completely clear. [read post]
19 Jun 2012, 2:29 pm
As a swap dealer, the entity would have to comply with the various Dodd-Frank provisions applicable to swap dealers, though in certain cases, this may be done through substituted compliance. [read post]
15 Mar 2011, 12:39 pm
"By referencing Barnett, Barnett is the most relevant, pertinent, applicable statement of preemption," Cayne said. [read post]
11 Oct 2023, 6:30 am
I regret that this little symposium contribution cannot do justice to what I owe Frank. [read post]
13 Jul 2010, 9:25 am
Trent Franks identifies issues with the supposedly non-controversial change to "first to file":First and most importantly, the Senate managers amendment changes the current patent process from our unique “first to invent” system to a “first to file” system. [read post]
3 Sep 2010, 10:39 am
Section 929R of Dodd-Frank amends Section 13 of the Exchange Act to empower the SEC to accelerate the current 10-day deadline for initial reports on Schedule 13D (or, as applicable, Schedule 13G). [read post]
23 Aug 2014, 6:00 am
For most commercial end-users of swaps, the mandatory clearing requirement under Dodd-Frank first became applicable on September 9, 2013. [read post]
5 Sep 2008, 2:40 pm
Frank I. [read post]
