Search for: "Application of Frank"
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1 May 2014, 5:14 am
Circuit struck down a portion of the “conflict minerals” rules promulgated by the Securities and Exchange Commission pursuant to the Dodd-Frank Act. [read post]
21 Dec 2022, 5:51 pm
Ultimately, the officer deemed Frank inadmissible, and ineligible for citizenship denying his N-400 application as a result. [read post]
23 Sep 2011, 3:00 am
Franks v. [read post]
16 Mar 2017, 6:00 am
In sum, after years of uncertainty and actions predicated on a mistaken application of the Dodd-Frank Act, the SEC is rectifying this injustice, and those subject to this miscarriage of justice will now have some measure of recompense. [read post]
13 Aug 2012, 11:06 am
In a comment letter to the CFTC, the International Swaps and Derivatives Association (ISDA) said that the substituted compliance process in the Commission’s proposed guidance on the cross-border application of Dodd-Frank derivatives regulations fails to comply with the congressional goals of comity and harmonization and is also too prescriptive to succeed. [read post]
12 Aug 2016, 1:00 am
Cuervo ***Frank C. [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]
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]
10 Oct 2012, 11:09 am
Roberts, Frank C. [read post]
3 Dec 2013, 11:02 am
As required by the Dodd-Frank Act, the CFTC has promulgated rules covering, among other things, external business conduct standards and swap documentation requirements applicable to swap dealers. [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]
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]
2 Sep 2011, 12:21 pm
Accord: Frank v. [read post]
26 Sep 2013, 11:31 am
Wu, Frank Wu, Law School Applications, Law School Deans, Law Schools, Shrinking Law Schools, U.C. [read post]
17 Mar 2011, 9:39 am
If the court answers in the negative, retroactive application is appropriate. [read post]
22 Jun 2015, 6:42 am
In 2008, the financial advisor reported to her supervisors at ING problems that she had identified with ING’s internal policies and procedures and their implementation and application, some of which allegedly harmed customers. [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]
