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9 Jul 2012, 9:00 am
For more information on Frank Sperduti please visit http://www.blg.com/en/home/our-professionals/Pages/Sperduti-Frank.aspx [read post]
23 Jul 2012, 3:01 pm
For more information on Frank Sperduti please visit http://www.blg.com/en/home/our-professionals/Pages/Sperduti-Frank.aspx [read post]
24 Jul 2012, 12:26 pm
For more information on Frank Sperduti please visit http://www.blg.com/en/home/our-professionals/Pages/Sperduti-Frank.aspx [read post]
4 Jul 2012, 9:00 am
For more information on Frank Sperduti please visit http://www.blg.com/en/home/our-professionals/Pages/Sperduti-Frank.aspx [read post]
25 Jul 2012, 11:11 am
For more information on Frank Sperduti please visit http://www.blg.com/en/home/our-professionals/Pages/Sperduti-Frank.aspx [read post]
10 Jul 2012, 9:00 am
For more information on Frank Sperduti please visit http://www.blg.com/en/home/our-professionals/Pages/Sperduti-Frank.aspx [read post]
6 Jul 2012, 9:00 am
For more information on Frank Sperduti please visit http://www.blg.com/en/home/our-professionals/Pages/Sperduti-Frank.aspx [read post]
7 Aug 2014, 12:13 pm
Dodd-Frank allowed the SEC to impose bars from association with municipal securities advisors, which were created by the Dodd-Frank Act, and NRSROs, which had been placed under the SEC’s authority in 2006 by the Credit Rating Agency Reform Act.The central question of the Lawton case, as framed by Commissioner Gallagher, was: even if the Commission does have the authority to impose certain bars collaterally and retrospectively, would the retrospective imposition of the two new… [read post]
27 Feb 2018, 4:49 pm
In an important case clarifying the scope of the anti-retaliation provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the U.S. [read post]
27 Feb 2018, 4:49 pm
In an important case clarifying the scope of the anti-retaliation provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the U.S. [read post]
27 Sep 2010, 5:44 pm
In one of its post-Madoff reforms, the Dodd-Frank Act authorized the PCAOB to inspect and examine the auditors of broker-dealers. [read post]
4 Oct 2011, 2:00 am
Click here for the full October 2011 Dodd-Frank Progress Report. [read post]
21 Dec 2014, 4:00 pm
Dodd-Frank Regulations: Regulators’ Analytical and Coordination Efforts [Reissued on December 18, 2014, GAO-15-81: Published: Dec 18, 2014. [read post]
22 Feb 2016, 4:37 pm
Our colleague Frank C. [read post]
25 Feb 2015, 12:54 pm
Tags: Sarbanes-Oxley, Supreme CourtSCOTUS: fish not “documents” or “records” under Dodd-Frank is a post from Overlawyered - Chronicling the high cost of our legal system [read post]
13 Aug 2017, 5:56 am
Frank Bruni does the unthinkable at the New York Times. [read post]
26 Apr 2023, 3:30 am
Here’s some good news Liz shared yesterday for members of CompensationStandards.com: Yesterday, the SEC posted notice – for the NYSE, Nasdaq and other SROs – that it would designate a longer period for taking action on proposed listing standards to implement Dodd-Frank clawback rules. [read post]
25 Jun 2015, 6:34 am
Pedrow and Dee Spagnuolo Just days after the release of the final diversity standards under Section 342 of the Dodd-Frank Act, several prominent lawmakers and business leaders have criticized the new standards for not going far enough to promote diversity and inclusion within the financial services industry. [read post]
8 Jun 2017, 3:00 am
This Reuters article says that the President’s budget proposal would eliminate the SEC’s reserve fund, which was established under Dodd-Frank to be used “as the [SEC] determines is necessary to carry out the functions of the Commission. [read post]
3 Aug 2018, 6:49 am
The securities attorneys at Gana Weinstein LLP are currently investigating former International Assets Advisory, LLC (International Assets) broker Frank Cuenca. [read post]
