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13 Oct 2015, 7:58 am
In Koch, an SEC administrative law judge found that Donald Koch, an investment adviser, marked the close for three small bank stocks between September and December 2009 in order to give the appearance that his clients’ accounts were retaining their value. [read post]
3 Apr 2014, 6:00 am
However, just a few weeks ago, an identical bill was introduced in the Senate (S.2101), and was referred to the Committee on Banking, Housing and Urban Affairs. [read post]
19 May 2014, 4:26 pm
Although the Dodd-Frank Act specified that end-users should not be treated the same as banks and in many instances should not be subject to the same registration and margin requirements as other market participants, noted Senator Chambliss, the Ranking Member on the Ag Committee, the CFTC has not exempted true derivative end-users from the margin requirements applied by Dodd-Frank to many derivatives contracts. [read post]
25 May 2010, 6:37 am
Frank became the chairman of the powerful House Financial Services Committee, which oversees much of the financial services industry, including securities, insurance, banking, and housing. [read post]
3 Oct 2011, 7:19 am
The NCAA Adopts 'Dodd-Frank': A Fable (September 14, 2011). [read post]
27 Sep 2016, 10:57 am
These banks,therefore, had no choice but to start complying with the new provisions immediately after April 2011. [read post]
22 Dec 2008, 3:23 pm
Or Barney Frank. [read post]
1 Oct 2013, 9:18 pm
Contents include:John Linarelli, Introduction Gillian Brock, Theories of Global Justice Ernst Ulrich-Petersmann, Human Rights and International Economic Law Frank Garcia & Lindita Ciko, Theories of Justice and International Economic Law Chin Leng Lim, Regional Trade Agreements and the Poverty Agenda Paul Clements, Multilateral Development Banks and the International Monetary Fund Sarianna Lundan, Human Rights Issues in Multinational Value Chains Carlos Correa,… [read post]
11 Oct 2013, 10:05 am
Pending legislation in New York State would provide protection and compensation for whistleblowers who provide original information about violations of banking, insurance, and financial services laws to the New York State Department of Financial Services (“DFS”). [read post]
5 Jan 2017, 7:21 am
Nelson, J.D. discusses the impact of the election on the Dodd-Frank Act and federal regulation of the financial services industry. [read post]
27 Jul 2010, 8:26 am
Moss believes that the bill takes important steps to rein in “too big to fail” banks, Clayton S. [read post]
13 Dec 2018, 10:05 am
Despite agreeing on the merits with State National Bank of Big Spring (SNB) and the other petitioners for certiorari that the CFPB’s structure is unconstitutional, the Department of Justice has filed a brief in which it argues that the U.S. [read post]
1 Jul 2010, 4:59 pm
The end user exemption may also apply to smaller financial entities, credit unions, community banks, farm credit institutions, who did not get the US into the crisis and should not be punished for Wall Street excesses. [read post]
5 May 2011, 12:10 pm
The proposed regulation simply restates the statutory considerations set forth in Dodd-Frank. [read post]
5 Aug 2010, 7:00 am
According to the memo, Dodd-Frank has put pressure on bank earnings which may result in a greater incentive for banks to seek to pass on costs to their customers. [read post]
16 May 2011, 2:29 am
BANK SUPERVISION This multi-part series, entitled “Regulatory Relationship Management,” sets forth key principles and practical strategies for establishing and maintaining productive regulatory relationships, with an emphasis on banks and banking regulators. [read post]
3 Nov 2009, 7:36 pm
" This all comes on the heels of an October 29th letter from Barney Frank and Walt Minnick to the heads of the Fed, FDIC, OCC, NCUA, and OTS exhorting the regulators "to show some temperance in their regulation of traditional banks" and identifying examples of problem areas, including "'unofficial' capital requirements" that restrict lending activity and the valuation of assets "down to current… [read post]
29 Mar 2012, 2:29 pm
The legislation will ensure that community banks, agriculture co-ops and energy utilities can continue to hedge risk, said Rep. [read post]
8 Dec 2011, 11:18 am
In a letter to SEC Chair Mary Schapiro and the heads of the CFTC and federal banking agencies, House Financial Services Committee Chair Spencer Bachus (R-ALA) requested that the comment period for the proposed regulations implementing the Dodd-Frank Volcker Rule be extended for at least 30 days to accommodate a committee hearing set for January 18, 2012. [read post]
11 Aug 2010, 7:13 am
President Obama, on July 21, 2010, signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”). [read post]
