Search for: "Frank Banks"
Results 1001 - 1020
of 5,206
Sorted by Relevance
|
Sort by Date
12 Nov 2007, 10:15 pm
Frank Partnoy First, many thanks to David for exhuming FIASCO. [read post]
2 Nov 2011, 7:37 pm
Cynthia Richards, who was appointed in July, finds many of the provisions of new federal banking reform laws, known as Dodd-Frank, to be “onerous” and says their effect is largely to protect banks that are too big to fail. [read post]
23 May 2017, 8:00 am
Background Frank Mongelluzzi owned and operated several companies, and he and his business entities maintained 61 accounts at a regional bank. [read post]
23 May 2017, 8:00 am
Background Frank Mongelluzzi owned and operated several companies, and he and his business entities maintained 61 accounts at a regional bank. [read post]
24 Apr 2013, 12:52 pm
” The study was mandated by Congress in Section 1028 of the Dodd-Frank Act. [read post]
6 Jun 2012, 2:28 am
“We didn’t have a description, didn’t know race or gender or anything, so a split-second decision was made to stop all the cars at that intersection, and search for the armed robber,” Aurora police Officer Frank Fania told ABC News…. [read post]
27 Sep 2010, 5:30 am
The other non-voting members represent state banking supervisors and state securities administrators. [read post]
26 Jun 2014, 10:19 pm
The Congressional spotlight has shone strongly on the Financial Stability Board over the designation of non-bank financial firms, particularly asset management firms, as systemically important financial firms (SIFIs) by the Dodd-Frank created Financial Stability Oversight Council (FSOC). [read post]
21 Nov 2018, 2:26 am
Wall Street reform law, the Dodd-Frank Act. [read post]
7 Dec 2013, 3:47 am
Essentially, the rules prohibit certain short-term proprietary trading by subject banks. [read post]
10 Nov 2014, 9:56 am
There is reason to hope that Congress will be able to pass legislation that President Obama will sign that could soften some of the hard edges of the Dodd-Frank Act, such as the effect of regulations intended for large banks on small and regional banks, the application of SIFI rules to insurance companies, the regulation of end-users of derivatives, the broad definition of municipal advisor and the required disclosure of the origin of conflict minerals. [read post]
27 Dec 2018, 7:00 am
This post is based on their Fried Frank memorandum. [read post]
14 Oct 2014, 4:18 am
Frank Spinosa, age 53, was charged in Federal Court with wire fraud and conspiracy. [read post]
26 Jan 2011, 1:29 pm
Restrictions on proprietary trading are both over- and under-inclusive, said the Chair, over-inclusive because not all banks engage in proprietary trading contributing to systemic risk, and under-inclusive because some non-banks engaged in proprietary trading that may contribute to systemic risk. [read post]
28 Jul 2020, 6:14 am
Thus, the Senate Banking Commission worked directly with whistleblower attorneys in writing legislation that both incentivizes and protects whistleblowers. [read post]
17 Aug 2010, 10:49 am
Thus, end users that execute swaps through an affiliate should not be deemed to be swap dealers under Dodd-Frank just because they hedge their risks through affiliates. [read post]
4 Feb 2018, 6:00 am
Creating an inter-agency panel of financial regulators to monitor systemic risk was a hallmark achievement of the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank). [read post]
11 Dec 2014, 10:19 am
The Proposed Rule is one of several enhanced prudential standards developed by the Board in accordance with Section 165 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
14 Jul 2011, 3:43 pm
In testimony before the Senate Banking Committee, he noted that the Act increased transparency and accountability, improved the effectiveness of the SEC and PCAOB which, in turn, should give a boost to investors confidence in the markets. [read post]
18 Nov 2011, 4:04 am
Under Section 924(d) of the Dodd Frank Act, the SEC must report annually to Congress on its activities, whistleblower complaints and the agency’s response to the complaints. [read post]
