Search for: "D. Dodd"
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16 Aug 2022, 9:14 am
Lewis Voting Rights Advancement Act to restore the federal government’s power to defend ballot access across the country.Under her leadership, the House voted To help Biden put together billions of dollars to support Ukraine and orchestrate severe consequences on Russia.To stand by the repeal of policies that prevented gay and lesbian Americans from openly serving their country.To pass legislation:To save lives through mandatory background checks for gun purchases;To protect pregnant… [read post]
12 Aug 2022, 6:51 am
Groner, and Harrison D. [read post]
12 Aug 2022, 6:51 am
Groner, and Harrison D. [read post]
9 Aug 2022, 5:19 am
The CFTC found that the contracts involved “gaming” contrary to the public interest under the Commodity Exchange Act and CFTC regulations adopted pursuant to the Dodd-Frank Act. [read post]
8 Aug 2022, 9:50 am
The Senate companion bill, S.3316, is cosponsored by Senators Chuck Grassley (R-IA), Raphael Warnock (D-GA) and Elizabeth Warren (D-MA). [read post]
4 Aug 2022, 9:37 am
Court of Appeals for the Second Circuit has implications for whistleblowers under the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act” or “The Act”). [read post]
1 Aug 2022, 3:21 pm
Driven by Senators Chuck Grassley (R-IA) and Ron Wyden (D-OR) and their bipartisan Senate Whistleblower Protection Caucus, National Whistleblower Appreciation Day was first introduced by Senate resolution in 2013. [read post]
29 Jul 2022, 12:36 pm
The 2010 Dodd-Frank Act established the SEC cash-for-tips program. [read post]
26 Jul 2022, 9:01 pm
Next, I’d like to turn to MiFID II and its impact on the US-EU market for investment research.[16]MiFID II, of course, refers to the European law that came into effect in 2018 that, among other things, essentially prevents asset managers in Europe from purchasing broker-dealer research with “soft dollars. [read post]
21 Jul 2022, 8:18 am
The CFTC, by contrast, continues to operate on a much smaller budget despite its swaps and derivatives responsibilities under the Dodd-Frank Act. [read post]
8 Jul 2022, 6:29 am
Senators Posted by Senator Brian Schatz (D-HI), Senator Elizabeth Warren (D-MA), and Senator Sheldon Whitehouse (D-RI), on Tuesday, July 5, 2022 Tags: Climate change, ESG, Lobbying, Materiality, Regulation S-K, SEC, SEC rulemaking, Securities regulation, Sustainability 2022 Say on Pay & Proxy Results Posted by Todd Sirras, Austin Vanbastelaer, and Justin Beck, Semler Brossy LLC, on Wednesday, July 6, 2022 … [read post]
8 Jul 2022, 6:29 am
Senators Posted by Senator Brian Schatz (D-HI), Senator Elizabeth Warren (D-MA), and Senator Sheldon Whitehouse (D-RI), on Tuesday, July 5, 2022 Tags: Climate change, ESG, Lobbying, Materiality, Regulation S-K, SEC, SEC rulemaking, Securities regulation, Sustainability 2022 Say on Pay & Proxy Results Posted by Todd Sirras, Austin Vanbastelaer, and Justin Beck, Semler Brossy LLC, on Wednesday, July 6, 2022 … [read post]
4 Jul 2022, 9:05 pm
SEC[4] seems destined to reach the Supreme Court, at which point the Court will also have to consider not only Jarkesy’s requirement of a jury trial, but also its second holding: that the SEC’s authority to bring enforcement actions, either in federal court or administratively, is an unconstitutional delegation of legislative power, because the Dodd-Frank Act gave the SEC no guidance on when to bring administrative versus judicial actions. [read post]
29 Jun 2022, 8:50 am
Code 22800(d), or financial products and services offered or provided to small businesses, nonprofits, and family farms. [read post]
28 Jun 2022, 12:12 pm
In issuing the proposed rule, the FTC relies on its authority under Section 1029(d) of the Dodd-Frank Act to prescribe rules under Section 5 of the FTC Act that apply to auto dealers exempt from the CFPB’s jurisdiction pursuant to Dodd-Frank Section 1029(a). [read post]
26 Jun 2022, 9:05 pm
On June 10, 2022, U.S. senators Cynthia Lummis (R-WY) and Kirsten Gillibrand (D-NY) introduced S. 4356, their Responsible Financial Innovation Act, to transfer most regulation of cryptoproducts to the Commodity Futures Trading Commission (CFTC}, essentially ousting the SEC, presumably perceived to be a more aggressive regulator, from oversight of cryptoproducts that were securities. [read post]
23 Jun 2022, 9:01 pm
(“The Division is considering recommending that the Commission propose amendments to Regulation D, including updates to the accredited investor definition, and Form D to improve protections for investors. [read post]
22 Jun 2022, 1:36 pm
Senate, Senators Chuck Grassley (R-IA) and Raphael Warnock (D-GA) are cosponsoring a companion bill which fixes the same loopholes in the AML Act. [read post]
27 May 2022, 5:56 am
American Servicemembers’ Protection Act of 2002 (APSA) (including the Dodd Amendment)2. [read post]
18 May 2022, 9:01 pm
Rules implementing certain mandates of the Dodd-Frank Act of 2010 recently went into effect. [read post]
