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2 May 2011, 8:12 am
Update on Dodd-Frank Investment Adviser Registration Requirements Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), which became law on July 21, 2010, repealed effective July 21, 2011, the private advisor exemption from registration as an investment adviser under the Investment Advisers Act of 1940 (Advisers Act). [read post]
6 Apr 2011, 5:00 am
He managed to get Bruce Karpati, the co-head of the SEC’s Asset Management unit, to participate. [read post]
2 Feb 2011, 10:57 am
The session was chaired by Bruce Angiolillo of the Simpson Thacher law firm, who substituted into the role at the last minute. [read post]
21 Jan 2011, 11:31 am
Bruce Carton explains how denying crucial funds to the already cash-strapped agencies tasked with implementing Dodd-Frank is stopping implementation in its tracks. [read post]
12 Jan 2011, 11:39 pm
Local organizations and businesses are effusive with their praise for the transaction - everyone from the Ottawa Senators to retailer Tommy & Lefebvre to the Westin Hotel in Ottawa to the Surrey Honda auto dealership to Dodd's Furniture and Mattress in Victoria, BC to the Soho Bar and Grill in Calgary took the time to chime in with support. [read post]
3 Dec 2010, 5:00 am
To get the most out of your fraud investigation interviews, remember these 5 important steps: … Budget Forces SEC to Shelve Whistleblower Office, For Now by Bruce Carton In October, an 18% budget increase that the SEC was supposed to receive under Dodd-Frank was not included in a stopgap spending bill to fund government operations through early December. [read post]
12 Nov 2010, 9:24 am
Dodd-Frank says the SEC has jurisdiction as long as the conduct or effects test is satisfied. [read post]
2 Nov 2010, 1:59 am
Bruce Carton previously discussed many of these same concerns on his Securities Docket blog, here. [read post]
17 Oct 2010, 7:37 am
Well, I learned the truth from Lenny Bruce . . . . [read post]
8 Sep 2010, 5:00 am
” Dodd-Frank Wall Street Reform and Consumer Protection (Dodd-Frank) Act, Pub. [read post]
8 Sep 2010, 1:44 am
" Dodd-Frank's Effect on Non-U.S. [read post]
12 Aug 2010, 5:00 am
(Thanks for pointing this out Bruce.) [read post]
6 Aug 2010, 5:00 am
Here are some ways to botch the effort to become a leader: … Changes in Securities Enforcement Thanks to Dodd-Frank by Bruce Carton in Securities Docket Only a portion of the Dodd-Frank Act is directed at enforcement of securities laws by the Securities and Exchange Commission. [read post]
5 Aug 2010, 12:36 pm
Ogletree Deakins Gets It Right[By: Bruce W. [read post]
19 Apr 2010, 7:20 am
[Note that this ignores the role an implicit government guarantee (such as that in the Dodd bill) plays in encouraging firms to grow to "too big to fail" size.] [read post]
2 Jul 2009, 10:10 pm
"Into The Fire - Bruce Springsteen: September 11, 2001, my Brooklyn-born mother-in-law called us to turn on the TV immediately... [read post]
17 Jun 2009, 2:00 am
Bruce Braley on June 16, 200906/16/2009
Legislative Text of the Legislative Branch Appropriations Act for Fiscal 2010, H.G.W. 109 (PDF 408 KB)Text of the Bill as Ordered Reported by the House Appropriations Committee on June 12, 200906/16/2009
Legislative Text of the Medical Efficiency and Delivery Improvement of Care (MEDIC) Act (S. 1262)Text of the Bill as Introduced by Sen. [read post]
25 Sep 2008, 11:11 pm
Chris Dodd and the Treasury Department online. [read post]
25 Sep 2008, 7:25 pm
Dodd announced on the afternoon of Sept. 25 that negotiators had reached agreement on "fundamental principles" and that a final bill could be ready within days, but details on governance provisions were not disclosed. [read post]
22 Apr 2008, 10:36 am
Bruce McAlvain v. [read post]
