Search for: "D. Dodd"
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1 Jan 2011, 5:57 am
If anyone has one or can direct me to where to find one, I'd be most grateful. [read post]
1 Jun 2011, 6:44 am
On DLA Piper's Venture Alley blog last week, Andrew Ledbetter reported that the SEC has now followed up with proposed rules to implement the "bad actor" disqualifications for Rule 506 of Reg D that were called for by Dodd-Frank. [read post]
28 Apr 2011, 10:50 am
Barney Frank, D-Mass., has stated that the law does not indicate that the deadlines are "drop-dead. [read post]
15 Sep 2015, 2:09 am
Ahead of our webcast in two days that features the SEC’s Chief of the Office of Whistleblower – Sean McKessy – the Second Circuit agreed with the SEC in a split decision that a Dodd-Frank whistleblower did not have to make a report directly to the SEC to bring a Dodd-Frank retaliation claim. [read post]
7 Aug 2012, 6:17 am
Tahyar and Gabriel D. [read post]
15 Dec 2011, 6:45 am
Tahyar and Gabriel D. [read post]
18 Mar 2010, 5:00 am
Dodd's new language says the SEC must review filings under Rule 506 of Regulation D within 120 days. [read post]
10 Oct 2012, 7:09 am
Trans-Lux Corp., 11-cv-01424 (D. [read post]
31 Dec 2008, 5:15 am
Dodd first said he’d make public the details of the loan, then backpedaled and stonewalled reporters seeking answers. [read post]
13 Jan 2011, 7:25 am
The letter was also signed by Senators Bernie Sanders (I-VT) Patty Murray (D-WA), Carl Levin (D-MI), Sheldon Whitehouse (D-RI), Robert Menendez (D-NJ) and Ron Wyden (D-OR).Section 737 of Dodd-Frank directs the CFTC to establish limits on the amount of positions, other than bona fide hedge positions, that may be held by any person and to set limits to diminish, eliminate, or prevent excessive speculation. [read post]
20 Mar 2010, 5:45 am
Dodd. [read post]
26 Mar 2010, 7:40 am
Dodd, protesting the attack on Reg D. [read post]
7 Jul 2012, 5:29 am
Tahyar and Gabriel D. [read post]
20 Apr 2011, 9:29 am
Gary Peters (D-MI) said that private equity firms are not generally liquid and not highly leveraged, and thus do not pose a systemic risk. [read post]
9 May 2013, 3:35 pm
The book relates the intense and ultimately unavailing effort of Senator Christopher Dodd (D-Conn) to report a bi-partisan financial regulatory reform bill out of the Senate Banking Committee. [read post]
8 Jun 2023, 3:15 am
Following up on the NYSE amendment that I blogged about yesterday, Nasdaq has now also posted an amendment to its Dodd-Frank clawback listing standard proposal. [read post]
24 Nov 2011, 5:00 am
" Dodd Frank, 953(b)(2). [read post]
15 Dec 2014, 10:23 am
Dodd, a 1969 D.C. [read post]
25 Jun 2015, 6:34 am
Brian D. [read post]
16 May 2012, 6:11 am
Tahyar and Gabriel D. [read post]
