Search for: "JULIE FRANK"
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10 Oct 2012, 7:09 am
In July 2011, Trans-Lux announced that July 22, 2011, would be the last day of employment for all human resources personnel, including Kramer. [read post]
5 Sep 2019, 2:01 pm
CONTRACTS Frank J. [read post]
22 Jul 2016, 6:10 am
Posted by HLS Forum on Corporate Governance and Financial Regulation, on Friday, July 22, 2016 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of July 15–July 21, 2016. [read post]
14 Nov 2023, 9:04 am
During the 2023 Fiscal Year, the Dodd-Frank Act whistleblower programs of the U.S. [read post]
16 Mar 2017, 6:00 am
One of the outstanding issues relating to the Dodd-Frank Act was the SEC’s use of statutory power to regulate conduct that occurred prior to its enactment in July 2010. [read post]
18 Jan 2011, 8:12 am
Since its passage in July 2010, the Dodd-Frank Act has gotten a lot of attention, mostly for its sweeping new regulations affecting the financial industry. [read post]
15 Feb 2011, 10:11 am
In its 2011 corporate governance letter to domestic listed company executives, NYSE Regulation noted that Section 957 of the Dodd-Frank Act required each national securities exchange to amend its rules to prohibit member organizations from voting shares without specific client instructions in matters related to executive compensation. [read post]
25 Jul 2011, 2:49 pm
The Office of the Securities Commissioner of Kansas, Aaron Jack, is monitoring federal developments following adoption of the SEC rules for private advisers, effective July 21, 2011, in accordance with the timetable set forth by the Dodd Frank Wall Street Reform and Consumer Protection Act. [read post]
6 Jun 2018, 3:28 pm
(“Royal Alliance”) (CRD# 23131) in Mount Holyoke, MA, from 1989 – July 2015. [read post]
27 Jan 2011, 4:51 am
Four of Corp Fin's Dodd-Frank Rulemakings Delayed In its "Implementation of Dodd-Frank Act" rulemaking timeline, the SEC pushed back its estimate yesterday of when it will push out proposed rules from April-July to August-December for the following topics: - Pay-for-performance disclosure (how compensation is related to financial performance; Section 953) - Pay ratios (ratio of CEO pay to average employee pay; Section 954) - Clawback policies… [read post]
21 Nov 2011, 2:00 am
While the July 2011 re-adoption merely reaffirmed the existing beneficial owner rules, these SEC footnotes suggest that much greater change may lay ahead. [read post]
21 Jul 2023, 6:30 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, July 21, 2023 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of July 14-20, 2023. [read post]
21 Jul 2023, 6:30 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, July 21, 2023 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of July 14-20, 2023. [read post]
7 Jan 2013, 10:45 am
The exemptive order expires on July 12. [read post]
1 Aug 2011, 1:41 pm
It was noted that, as of July 22, 2011, some 80% of Dodd-Frank rulemaking deadlines have been missed, suggesting that (for whatever reasons), regulators have found it difficult to comply with the rulemaking mandates under Dodd-Frank. [read post]
20 Apr 2011, 9:29 am
Thus, the public asset-backed securitization markets froze on July 22, 2010, forcing the SEC to step in and issue a temporary no-action letter on July 22, 2010. [read post]
13 Jul 2012, 1:58 pm
On May 16, 2012, the CFTC’published in the Federal Register a Notice of Proposed Amendment to extend the temporary exemptive relief the Commission granted on July 14, 2011 from certain provisions of the Commodity Exchange Act (‘‘CEA’’) that otherwise would have taken effect on the general effective date of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act—July 16, 2011. [read post]
21 Jul 2015, 4:15 am
Warren released [on July 10], Ms. [read post]
12 Apr 2011, 5:42 am
His sentencing is scheduled for July 26. [read post]
1 Jul 2013, 3:00 am
July 9 Sponsor: Sadis & Goldberg Event:The Dodd-Frank Compliance & Technology Summer Meeting Location: New York, NY July 10 Sponsor: 100 Women in Hedge Funds Event: Making it Big: Lessons from High-Growth Hedge Funds Location: New York, NY July 11 Sponsor: ConceptONE Event: AIFMD + Summer Cocktails Location: New York, NY July 11 Sponsor: PLI Event: Doing Deals in Emerging Markets: BRICs & Beyond Location: New York, NY July 16… [read post]
