Search for: "Clayton Dodds"
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22 Oct 2018, 2:29 pm
The decision was unanimous, with Securities and Exchange Commission (SEC) Commissioner Elad Roisman voting on delegated authority due to the recusal of SEC Chair Jay Clayton. [read post]
31 Jul 2017, 12:21 pm
SEC Chair Jay Clayton submitted a six-page comment request asserting that the SEC should govern this regulatory space as provided by the Dodd-Frank financial reform law. [read post]
7 Feb 2018, 11:18 am
And after working for many years at breakneck speed to complete congressional-required rulemakings, the SEC under Chairman Clayton appears to be moving at a more measured pace with regard to rulemaking, including completing the remaining Dodd-Frank rulemakings on executive pay. [read post]
31 Jul 2017, 12:21 pm
SEC Chair Jay Clayton submitted a six-page comment request asserting that the SEC should govern this regulatory space as provided by the Dodd-Frank financial reform law. [read post]
7 Feb 2018, 11:18 am
And after working for many years at breakneck speed to complete congressional-required rulemakings, the SEC under Chairman Clayton appears to be moving at a more measured pace with regard to rulemaking, including completing the remaining Dodd-Frank rulemakings on executive pay. [read post]
27 Oct 2017, 6:01 am
Trotter, Latham & Watkins LLP, on Thursday, October 26, 2017 Tags: Board monitoring, Boards of Directors, Conflicts of interest, Disclosure, Foreign issuers, International governance, Mergers & acquisitions, Oversight, Related party transactions, Securities regulation The Hart-Scott-Rodino Act’s First Amendment Problem Posted by Scott Gant, Boies, Schiller, and Flexner LLP, on Thursday, October 26, 2017 … [read post]
21 Jul 2017, 6:04 am
Securities and Exchange Commission, on Friday, July 14, 2017 Tags: Algorithmic trading, Capital formation, Capital markets, Dark pools, High-frequency trading, Information environment, Market efficiency, Private firms, SEC, SEC enforcement, Securities Act, Securities regulation, Transparency SEC Chairman Clayton on His Agenda Posted by Ning Chiu, Davis Polk & Wardwell LLP, on Friday, July 14, 2017 … [read post]
29 Sep 2020, 6:43 am
” “Today’s award marks a milestone for the whistleblower program,” added SEC Chairman Jay Clayton. [read post]
20 Apr 2018, 12:45 pm
In 2010, the Dodd-Frank Act delegated authority to the SEC to propose a uniform fiduciary standard across all retail investment professionals. [read post]
27 Jun 2018, 6:05 am
Dodd-Frank expanded the use of administrative proceedings. [read post]
20 Jan 2021, 9:50 am
Earlier in 2020, then-SEC Chairman Jay Clayton reflected on the success of the SEC Whistleblower Program. [read post]
31 Oct 2018, 7:30 am
The Dodd-Frank and JOBS Act mandate created “approximately 100 good excuses” for this delay, Peirce said, and she noted that Chairman Clayton has made it a priority to finish the regulatory framework for security-based swaps. [read post]
10 May 2019, 7:05 am
These proposals preserve important investor and market protections, while at the same time addressing several of the practical implementation challenges that have been identified,” said SEC Chairman Jay Clayton. [read post]
29 Nov 2017, 4:23 pm
This shift began shortly after Clayton commenced his term in May. [read post]
1 Dec 2017, 2:55 pm
This shift began shortly after Clayton commenced his term in May. [read post]
23 Mar 2018, 9:47 am
In 2010, Dodd-Frank, the Obama-era financial reform law, delegated authority to the Securities and Exchange Commission (“SEC”) to propose a uniform fiduciary rule for retail investment accounts. [read post]
14 Apr 2021, 2:00 pm
In a series of written answers, Gensler committed to strongly supporting whistleblowers who file cases under the Dodd-Frank Act’s whistleblower reward law. [read post]
27 Aug 2020, 8:16 am
Supreme Court ruled that a whistleblower under the Dodd-Frank Act (DFA) was only protected from retaliation under that law if they made their disclosure directly to the SEC. [read post]
17 Mar 2017, 6:00 am
Rubinfeld, NYU School of Law, on Monday, March 13, 2017 Tags: Antitrust, Behavioral finance, Clayton Act, Executive Compensation, Executive performance, Firm performance, Incentives, Institutional Investors, Investor protection, Management, Ownership, Peer groups, Shareholder value, Sherman Act Is Disgorgement a “Forfeiture” for Statute of Limitations Purposes? [read post]
20 Jan 2021, 9:50 am
Earlier in 2020, then-SEC Chairman Jay Clayton reflected on the success of the SEC Whistleblower Program. [read post]
