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31 Oct 2012, 1:37 pm
Among its conclusions is that the reforms in 2010 made the funds more liquid and better equipped to deal with significant redemption changes. [read post]
1 Feb 2014, 1:27 pm
My friend, Frank Venis, sent me a link to a Planet Money/NPR story that 42.1% of home purchases are now in cash. [read post]
13 Aug 2010, 9:21 am
As part of the larger Dodd-Frank financial reform legislation, this Act significantly changes the rules for funds. [read post]
25 Aug 2011, 2:23 pm
Sean McKessy, Chief of the SEC's Office of the Whistleblower, commented that the agency would make changes if problems occurred. [read post]
24 Jan 2011, 9:21 am
Indeed, during the House-Senate conference on Dodd-Frank that hammered out the compromise Section 913, House Financial Services Chair Barney Frank said that Congress did not envision a uniform fiduciary standard containing a continuing duty to retail investors.In a comment letter to the SEC, SIFMA urged the SEC to define the scope of the term ``personalized investment advice’’ as used in Dodd-Frank but left undefined by the legislation. [read post]
4 Oct 2010, 11:41 am
Berkeley Study of Proposition 23 Two of us (Rick Frank and myself) have just published an op. ed in the LA Times on Prop. 23. [read post]
19 Dec 2013, 7:25 am
It's also worth considering the proposed changes to Canada's block shareholder reporting regimes known in Canada as the Early Warning Reporting ("EWR") system and the Alternative Monthly Reporting ("AMR") system. [read post]
1 Oct 2010, 7:54 am
The very best directors show flexibility and the ability to change perspective as the economic and competitive landscapes change. [read post]
21 Jul 2010, 12:47 pm
” Among other things, the memo says to expect 243 rulemakings and 67 studies required by the law; persistent ambiguities “that will require consultation with the staffs of the various agencies involved;” and the need to adjust the regulation to changes in market behavior as well as to the technical fix bill promised by Chairman Frank. [read post]
9 Dec 2022, 7:33 am
Given the party change in the House next session, Rep. [read post]
29 Apr 2013, 10:51 am
There is an uncertainty about marketing rules with the changes mandated by the JOBS Act. [read post]
1 May 2013, 7:00 am
There is an uncertainty about marketing rules with the changes mandated by the JOBS Act. [read post]
27 Aug 2010, 5:58 am
Frank Wolf (R-VA), along with Rep. [read post]
21 May 2018, 6:05 am
With the statutory changes from Dodd-Frank, the Securities and Exchange Commission started gathering basic information about private fund managers and their funds on Form ADV. [read post]
11 Jun 2013, 5:00 am
Frank was planning a big legislative changes to the financial services industry and the new president shared this goal. [read post]
11 Jun 2013, 5:00 am
Frank was planning a big legislative changes to the financial services industry and the new president shared this goal. [read post]
14 Mar 2019, 6:41 am
The FTC’s proposed changes to the Privacy Rule would include (1) technical changes corresponding to the reduced scope of its Privacy Rule due to Dodd-Frank Act changes, which primarily consist of removing references that do not apply to motor vehicle dealers; (2) modifications to the annual privacy notice requirements to reflect the changes made to the GLBA by the FAST Act; and (3) a modification to the scope and definition of “financial… [read post]
3 Dec 2012, 5:50 am
For the CCAR BHCs, the two most significant changes from the 2012 process are: Click here to read the complete post... [read post]
4 Nov 2013, 10:46 am
Carnival Vice Chairman and Chief Operating Officer (COO) Howard Frank will step down. [read post]
13 Feb 2017, 3:00 am
Jeb Hensarling’s bill to consign Dodd-Frank to the ash heap of history. [read post]
