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28 Feb 2012, 4:21 pm
The Volcker rule would be an implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act’s Section 619. [read post]
4 May 2021, 11:01 am
In the third complaint, CSBS also asks the court to declare that the OCC’s preemption regulations (12 C.F.R. 7.4007, 7.4008, 34.4) are invalid because (1) they do not comply with the Dodd-Frank Act’s standard limiting preemption to state consumer financial laws that “prevent or significantly interfere with” the exercise of a national bank’s powers, (2) they were promulgated without the OCC undertaking the case-by-case analysis for preemption… [read post]
20 Oct 2010, 6:00 am
The Dodd-Frank Act also specifies that a state securities commissioner is a non-voting member of the FSOC. [read post]
24 Jan 2011, 2:02 pm
Chairman Vickers mentioned the Volcker Rule provisions of the Dodd-Frank Act as the type of structural reform that the Commission is considering. [read post]
6 Dec 2011, 3:11 pm
Schapiro, before the United States Senate Committee on Banking, Housing, and Urban Affairs (December 6, 2011) [read post]
29 Jun 2020, 12:49 pm
The passage of the Dodd-Frank Act in 2010 created the CFTC Whistleblower Program. [read post]
4 Oct 2011, 11:48 am
Indeed, I would suggest that this sort of practice would be precisely the sort of thing that might fit under the new Dodd-Frank UDAAP rubric, as the banks would be using their superior knowledge to take advantage of consumers who lack the legal expertise to evaluate their options. [read post]
19 Oct 2012, 7:00 am
Frank arranged for the bank to name him personally as guarantor to the business loans. [read post]
7 Sep 2010, 3:32 am
Whistleblower Protections Under the Dodd-Frank Act: September 8SEC's New Proxy Access Rules: September 16Dodd-Frank Act: The Enforcement Outlook: September 30 Banking Briefings Financial Regulatory Reform in Europe and the U.K.: An Overview: September 27 Corporate and Securities Briefings Delaware's Corporation and Alternative Entity Laws: 2010 Amendments You Must Know About: September 15 Employment Briefings Employee or Independent Contractor?… [read post]
16 Aug 2012, 5:00 am
One of the key components to Dodd Frank was the so called Volcker Rule. [read post]
16 Aug 2010, 9:15 am
The intent of Section 621 of the Dodd-Frank Act is to prohibit underwriters, sponsors, and others who assemble asset-backed securities, from packaging and selling those securities and profiting from the securities’ failures. [read post]
30 Jun 2010, 4:46 am
The Dodd-Frank Act's "Needle in the Haystack": Resource Extraction Disclosure Now that we are all wading through the 2,000 pages of the Dodd-Frank Act (here is a Subtitle E excerpt if you just want to read the 23 pages related to governance and executive compensation - with exceptions that Sections 971 (proxy access) and 972 (Chair-CEO split) are in Subtitle G), members are finding some items they didn't expect. [read post]
12 Mar 2018, 3:41 am
" Some Democrats see it as needed regulatory relief for small banks, while others, including the one who used to blog here, see S. 2155 as a rollback of keys parts of Dodd-Frank for big banks that remain too big to fail. [read post]
30 Jul 2007, 8:39 pm
Frank said. [read post]
5 Aug 2009, 7:49 pm
In other words, the banking regulators will encroach upon the prerogatives of each bank's board of directors. [read post]
26 Apr 2007, 3:15 am
Frank and Lewis both hit on an important characteristic of American markets in general and the subprime markets, in particular. [read post]
27 Apr 2017, 8:22 am
Waters also queried Hensarling over his claim that Congress has held 145 hearings on the Dodd-Frank Act and the CHOICE Act. [read post]
10 Aug 2010, 7:30 am
Jeff Merkley (D-Ore.) and Carl Levin (D-Mich.) offered regulators detailed guidelines for drafting rules on banks’ proprietary trading activities and hedge fund investments… Read this entire article for free, activate your free 15 day trial access to Banking Report now. [read post]
13 Feb 2014, 7:35 am
For example, if a provider servicing a bank's mortgage portfolios makes systemic errors that cause "substantial injury" to a group of the bank's consumers, it might trigger UDAAP violations, particularly if the bank failed to properly monitor those services. [read post]
1 Dec 2010, 2:30 pm
Pursuant to its authorization under the Dodd-Frank Act, the Financial Stability Oversight Committee (“FSOC”) members voted on November 23 to approve an advance notice of rulemaking soliciting public input on the question of how the council should determine when to designate a financial market utility (defined under Dodd Frank as any person managing or operating a multilateral system for the purpose of transferring, clearing or settling payments, securities or… [read post]
