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17 Feb 2010, 8:11 am
Frank Newton Award. [read post]
26 Jan 2012, 6:17 am
Robinson, and Brandon C. [read post]
4 Feb 2011, 7:35 am
The first recounts (a) what happened last spring, (b) the upshot with the passage of Dodd-Frank, and (c) where we are likely to be for the next four years, particularly given what the SEC signaled last week. [read post]
29 Jun 2015, 6:02 am
Epstein, Robert C. [read post]
31 May 2015, 6:04 am
Richter, Robert C. [read post]
28 Nov 2011, 2:00 am
Click here for the complete Side by Side Comparison from S&C. [read post]
19 May 2010, 2:02 pm
For example, remember Florida Highway Patrol Trooper Paul C. [read post]
24 Jan 2012, 3:52 pm
The purpose of the Massachusetts amendments is to coordinate with the new rule adopted by the Securities and Exchange Commission under the Dodd-Frank Act. [read post]
28 Jul 2010, 11:39 am
The new Dodd-Frank law applies only to financial institutions. [read post]
10 Aug 2017, 6:08 am
Only 3% of the capital raised under Regulation D since rule 506(c) went into effect has been through issuances claiming the 506(c) exemption. [read post]
12 Jun 2013, 2:55 am
It moved from a B to a C. [read post]
10 Aug 2017, 6:08 am
Only 3% of the capital raised under Regulation D since rule 506(c) went into effect has been through issuances claiming the 506(c) exemption. [read post]
20 Dec 2010, 12:49 pm
s Top Deals 10 Firms Agree on Dodd-Frank Impact [read post]
3 Sep 2014, 11:37 am
§ 7a-2(c), the applicable statutory standard for self-regulatory rule approvals, the CFTC was required to approve the CME rule unless it found that the rule was “inconsistent” with the CEA or CFTC regulations. [read post]
11 Oct 2017, 9:08 am
Reporting by Marc Frank; Editing by Lisa Von Ahn [read post]
18 Aug 2013, 7:26 pm
See Dodd–Frank Wall Street Reform and Consumer Protection Act, Pub.L. [read post]
8 Apr 2016, 3:18 pm
The CFTC previously ordered Coscia to pay $2.8 million for his activity.Spoofing was banned by the Dodd-Frank Act, which added Section 4c(a)(5)(C) of the Commodity Exchange Act to proscribe conduct that “is, is of the character of, or is commonly known to the trade as, ‘spoofing’ (bidding or offering with the intent to cancel the bid or offer before execution). [read post]
2 Feb 2014, 12:30 am
Others include a review of Kevin Doughterty's The United States Military in Limited War: Case Studies in Success and Failure, 1945-1999 (McFarland), and a review of James C. [read post]
16 Oct 2016, 12:36 pm
C. [read post]
10 Feb 2020, 4:19 am
Therefore, easyGroup had a duty of full and frank disclosure. [read post]
