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21 Jul 2011, 10:10 am
In testimony before the Senate Banking Committee on the first anniversary of the enactment of the Dodd-Frank Act, SEC Chair Mary Schapiro said that if the SEC does not receive additional resources, many of the issues highlighted by the financial crisis, and which the Dodd-Frank Act seeks to fix will not be adequately addressed, since the Commission will not be able to build out the technology and hire industry expertise and other staff desperately needed to oversee and… [read post]
12 Nov 2011, 12:15 pm
Senators Mike Johanns (R-Neb.) and Mark Warner (D-Va.) are co-sponsors of S 1824.In an effort to allay concerns about the broad scope of the SEC registration regime for municipal advisors, the legislation amends Section 975 of the Dodd-Frank Act by excluding banks and persons appointed to or volunteering on a board, commission, committee, or similar function of a municipal entity. [read post]
6 Mar 2023, 10:15 am
“The Dodd-Frank Act’s Hotel California provision, designed to prevent bailed-out investment banks from returning to their freewheeling ways, prevents financial firms like Goldman from reverting to their former structure,” he said. [read post]
20 Apr 2011, 10:47 am
As Adam noted in a post last week, the large banks now have some odd bedfellows in their fight against the regulation of debit swipe fees (this issue often goes by the short-hand "Durbin," for the author of the amendment in Dodd-Frank that requires the Fed to regulate debit fees). [read post]
20 Apr 2011, 10:47 am
As Adam noted in a post last week, the large banks now have some odd bedfellows in their fight against the regulation of debit swipe fees (this issue often goes by the short-hand "Durbin," for the author of the amendment in Dodd-Frank that requires the Fed to regulate debit fees). [read post]
12 Mar 2012, 7:44 pm
A recent article in Bank Safety & Soundness Reporter (paid subscription required) claims that while Dodd-Frank focused federal bank regulators on incentive-based compensation at the largest banks, bank examiners "are using safety and soundness criticism and the threat of formal action to micromanage not only the incentive plans, but also the base salaries of bank executives and directors. [read post]
1 May 2012, 11:52 am
Commenting on this matter, Frank Keating, the president of the American Bankers Association, said “nonresident aliens are unlikely to feel reassured by promises that their information won’t fall into the wrong hands. [read post]
22 Jul 2011, 5:47 am
Related Posts: Dodd-Frank @ 1: Volcker Rule By The Numbers Dodd-Frank @1: The Volcker Public Comments Dodd-Frank @1: Screwing Joe The “Plummer” [read post]
13 Sep 2010, 1:19 pm
In addition, two documents recently issued by the Basel Committee on Banking Supervision — entitled “Enhancements to the Basel II Framework” and “Strengthening the Resilience of the Banking Sector” — also make extensive use of credit ratings, and thus raise issues under Dodd-Frank. [read post]
26 Apr 2012, 1:04 pm
But the SEC and the banking regulators need to fulfill the statutory mandate, concluded the Senators. [read post]
16 Apr 2017, 5:56 pm
National Australia Bank, U.S. courts held that the U.S. securities laws could be applied extraterritorially if there was sufficient fraudulent conduct or were sufficient effects from that conduct in the U.S. [read post]
1 Feb 2011, 12:20 pm
A bank teller recognized one of the robbers’ voices as belonging to a regular customer. [read post]
30 Aug 2011, 10:48 am
In a letter to the SEC and federal banking agencies, a bi-partisan group of seven House members urged that credit scores be part of the qualified residential mortgage equation in the Dodd-Frank risk retention regulations. [read post]
6 Dec 2011, 5:15 am
Without a confirmed director, the CFPB cannot extend its oversight to non-bank consumer lenders, arguably the most essential to its intended role. [read post]
20 Jul 2010, 5:43 pm
Like many, I am skeptical that the Dodd-Frank Act accomplishes much of anything. [read post]
8 May 2012, 3:30 am
My view is that the OCC's sophistic attempt to preserve blanket preemption in the face of Dodd-Frank is not only doomed, but bad for the very bank masters that OCC is trying to serve. [read post]
31 Oct 2016, 4:02 pm
Of course she appears to think that any kind of bank reform should “come from the industry itself”. [read post]
20 Feb 2009, 2:50 pm
Does anyone seriously think that Citibank and Bank of America will be run better and make more prudent loans if they are run by Chris Dodd and Barney Frank? [read post]
18 Jun 2011, 1:40 pm
One comment letter to the SEC was from a consortium of securities, futures and banking trade associations, including the FIA, SIFMA, ISDA and the American Bankers Association. [read post]
5 Jun 2012, 6:03 am
The Federal Reserve’s new rule on regulatory capital requirements for banks will be announced in the next couple of days. [read post]
