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12 Aug 2016, 1:00 am
Cuervo ***Frank C. [read post]
28 Jun 2011, 2:16 pm
New applicants that meet the definition of mid-sized advisers and who seek to apply between January 1, 2011 and July 21, 2011 can apply either with the SEC or the state or states in which it must register. [read post]
28 Jan 2013, 11:02 am
Among the flurry of mortgage-related final rules issued by the CFPB this month was a final rule to implement a Dodd-Frank amendment to the Equal Credit Opportunity Act that requires creditors to provide to a first lien mortgage applicant a copy of all written appraisals and valuations developed in connection with the application. [read post]
10 Oct 2012, 11:09 am
Roberts, Frank C. [read post]
Insurance Companies – Are You Covered? The Dodd-Frank Proposed Rules on Incentive-Based Compensation
19 Jul 2016, 1:00 pm
The proposed rule also gives regulators some discretion to apply the requirements applicable to larger entities to smaller ones. [read post]
24 Sep 2010, 2:10 pm
The SEC published interpretive guidance to clarify the application of certain Commission rules, regulations, releases, and staff bulletins in light of the authority granted to the Public Company Accounting Oversight Board in the Dodd-Frank Wall Street Reform and Consumer Protection... [read post]
17 Aug 2012, 4:00 am
The CFPB has issued two new proposals dealing with mortgage appraisals that implement provisions of the Dodd-Frank Act. [read post]
17 Aug 2012, 4:00 am
The CFPB has issued two new proposals dealing with mortgage appraisals that implement provisions of the Dodd-Frank Act. [read post]
17 Mar 2011, 9:39 am
If the court answers in the negative, retroactive application is appropriate. [read post]
16 May 2011, 6:32 am
The Court first noted that although the parties had briefed the issue of which type of preemption the Court should apply, the Dodd-Frank Act amended the applicable preemption standard under the National Bank Act. [read post]
18 Jul 2011, 1:08 pm
Securities Act Section 36b-6(c) during the deferment.* Investment advisers who as of July 20, 2011: (1) rely on the July 21st-repealed private adviser (de minimis) exemption at 1940-Act Section 203(b)(3); (2) are ineligible to register as SEC investment advisers because their assets under managment do not meet the July 21st-effective SEC threshold amount; and (3) are ineligible for another Section 203 exemption, including the Section 203A(c) exemption from the prohibition on SEC registration, will… [read post]
13 Sep 2021, 10:20 am
We discuss the pedagogy of the casebook here: Frank S. [read post]
23 Sep 2014, 1:10 pm
Relying on this precedent, the Second Circuit rejected Liu’s arguments that the broad language of the Dodd-Frank Act could be read to imply extraterritorial application. [read post]
24 Jul 2012, 3:26 pm
The securities, banking and hedge fund industries have asked the CFTC to extend the public comment period on proposed guidance on the cross-border application of the Dodd-Frank derivatives provisions from August 27 until September 10. [read post]
23 Mar 2011, 9:00 am
As reported by the California Apartment Association, the federal Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 requires users of consumer reports, beginning on July 21, 2011, to also provide credit scores to applicants if the score was used in taking adverse action. [read post]
23 Mar 2010, 8:50 am
Frank has ruled that a child sex trafficking statute applies extraterritorially. [read post]
13 Apr 2016, 10:17 am
Frank C. [read post]
31 Jul 2013, 9:45 am
It implements a Dodd-Frank amendment to the ECOA that requires creditors to provide to an applicant for a loan secured by a first lien on a residential structure containing one to four units a copy of all written appraisals and valuations developed in connection with the application. [read post]
28 Jul 2010, 5:21 am
., and my summaries of summaries of the Dodd-Frank bill took too long, here I’ll give the big overview of the bill as it may affect smaller public companies. [read post]
8 Jul 2010, 10:13 am
The Dodd-Frank bill sets it forth succinctly and simply - all too simply. [read post]
