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15 Dec 2010, 5:00 am
The new program is not applicable to private companies that are not subject to registration under the Securities Act of 1934. [read post]
3 May 2018, 9:57 am
On May 1, the FCC’s Media and Wireless Bureaus granted a request filed by Fletcher, Heald & Hildreth attorneys Frank Montero and Keenan Adamchak on behalf of the Puerto Rico Broadcasters Association (PRBA) to waive the FCC’s rules limiting the scope of settlements involving mutually exclusive (MX) FM translator applications filed in the Auction 100 MX filing window. [read post]
4 Mar 2021, 5:56 am
Compensation committee (Committee) members’ duties and responsibilities generally are outlined in the Committee’s organizational charter (Charter) approved by the Board of Directors (Board) of the applicable company (Company), which should reflect requirements imposed by the securities exchanges, some of which are the result of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act or Dodd-Frank), applicable Securities… [read post]
CA3: Franks challenge on failure to include full criminal history of consenter didn't affect consent
3 Oct 2011, 5:42 am
Defendant’s Franks challenge was based on the fact that the officer did not include in a later search warrant application that the lady that consented to the search with full authority to do so had a criminal history. [read post]
17 May 2011, 6:10 am
In a letter to CFTC Chair Gary Gensler and banking regulators, the Senators asked the Commission to reconsider the extraterritorial application of these requirements in a way that is consistent with Congressional intent regarding the territorial scope of the new Dodd-Frank regulatory framework for derivatives. [read post]
2 Jul 2010, 5:29 pm
Applicable SEC regulations, include but are not limited to, rules governing net capital (Rule 15c3-1), customer protection and related topics (Rule 15c3-3), and reports made by brokers and dealers (Rule 17a-5). [read post]
22 Jul 2010, 3:40 pm
" Third, the Act contains a number of provisions regarding executive compensation, corporate governance and enforcement provisions that are applicable to most public companies, as discussed in more detail in our client alert "Executive Compensation, Corporate Governance and Enforcement Provisions of The Dodd-Frank Act Affecting Public Companies. [read post]
7 Jul 2009, 9:40 am
If you have any questions about this event, contact Frank Bishop at (207) 791-1230. [read post]
10 Jul 2012, 11:46 am
Roberts, Frank C. [read post]
27 Apr 2011, 8:28 am
General Registration Requirement Absent an Applicable Exemption Effective July 21, 2011, the Dodd-Frank Act eliminates the “private investment adviser” exemption contained in Section 203(b)(3) of the Advisers Act. [read post]
22 Jul 2011, 5:53 am
Related Posts: Dodd-Frank By The Numbers: A Volcker Rule Case Study Dodd-Frank By The Numbers: The Volcker Public Comments Dodd-Frank By The Numbers: Screwing Joe The “Plummer” [read post]
3 May 2013, 2:36 pm
Ken Bentsen, and current SIFMA CEO, testified that the securities industry supports the Swap Jurisdiction Certainty Act, H.R. 1256, because it would harmonize the cross-border approaches to derivatives regulation by requiring the CFTC and SEC to jointly issue a regulation related to the cross-border application of the Dodd Frank Act within 180 days. [read post]
23 Oct 2016, 8:30 pm
Surrogate Court, Queens City, NY February 2, 2016 Decedent passed away on August 29, 2002, and is survived by 4 children. [read post]
12 Jun 2012, 6:21 am
Editor’s Note: Gary Gensler is chairman of the Commodity Futures Trading Commission. [read post]
12 Jun 2012, 6:21 am
Editor’s Note: Gary Gensler is chairman of the Commodity Futures Trading Commission. [read post]
25 Nov 2010, 2:30 am
Another meeting participant said he would like to see licensing standards for SIU personnel that are comparable to those applicable to public adjusters and appraisers. [read post]
2 Nov 2010, 1:59 am
Given the high likelihood of future Dodd Frank whistleblower claims, the review of the applicable D&O insurance policy language, seems like a critical next step. [read post]
29 Nov 2017, 8:42 am
“Absurd” is the word Michel took on the task of convincing the court that in some circumstances it is permissible to ignore a literally applicable statutory definition. [read post]
22 Nov 2016, 7:19 am
The State of South Dakota filed written comments in opposition to the Tribal application. [read post]
