Search for: "D. Dodd"
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13 May 2022, 6:13 am
Josh Gottheimer (D-NJ), would amend Dodd-Frank Act Section 989A to create a grant program to be administered by a task force overseen by the SEC. [read post]
12 May 2022, 9:01 pm
Background The CFPB’s announcement requires an understanding of the CFPB’s rulemaking, supervision and enforcement authorities under Title X of the Dodd-Frank Act. [read post]
11 May 2022, 9:01 pm
Transparency Next, I’d like to discuss transparency. [read post]
2 May 2022, 6:33 am
Linda D. [read post]
29 Apr 2022, 6:27 am
Kay, and John Ellerman, Pay Governance LLC, on Monday, April 25, 2022 Tags: Compensation disclosure, Dodd-Frank Act, Executive Compensation, Incentives, Pay for performance, Say on pay, SEC, Securities regulation Do Startups Benefit from Their Investors’ Reputation? [read post]
29 Apr 2022, 6:27 am
Kay, and John Ellerman, Pay Governance LLC, on Monday, April 25, 2022 Tags: Compensation disclosure, Dodd-Frank Act, Executive Compensation, Incentives, Pay for performance, Say on pay, SEC, Securities regulation Do Startups Benefit from Their Investors’ Reputation? [read post]
27 Apr 2022, 11:58 am
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]
25 Apr 2022, 9:05 pm
”[10] Hence, as even proto-corporate social responsibility advocate Merrick Dodd admitted in 1932, Dodge represented the orthodox understanding at that time of the law governing directors’ duties. [read post]
23 Apr 2022, 5:42 pm
(Deborah D'Souza, Investopedia). [read post]
12 Apr 2022, 9:44 am
This would conform the AML Act with the Dodd-Frank Act. [read post]
11 Apr 2022, 6:52 am
Lizarraga was involved with the drafting of the Dodd-Frank Act. [read post]
8 Apr 2022, 5:50 am
Securities and Exchange Commission, on Thursday, April 7, 2022 Tags: CFTC, Credit default swaps, Derivatives, Dodd-Frank Act, SEC, SEC rulemaking, Securities regulation, Swaps, Swaps entities [read post]
8 Apr 2022, 5:50 am
Securities and Exchange Commission, on Thursday, April 7, 2022 Tags: CFTC, Credit default swaps, Derivatives, Dodd-Frank Act, SEC, SEC rulemaking, Securities regulation, Swaps, Swaps entities [read post]
7 Apr 2022, 9:01 pm
First, it would create a framework for the registration of security-based SEFs, based upon the 14 core principles for these entities spelled out in the Dodd-Frank Act. [read post]
7 Apr 2022, 11:49 am
Lizárraga currently serves as Senior Advisor to Speaker of the House Nancy Pelosi (D-CA). [read post]
2 Apr 2022, 5:37 am
Notably, although the SEC indicated that the new proposals were designed to meet the mandates provided by Section 13(f)(2) of the Exchange Act, which was enacted as part of Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) initiatives, they actually impose requirements likely beyond the Section 13(f)(2) mandate to prescribe rules providing for the public disclosure of short sales. [read post]
1 Apr 2022, 7:03 am
And they have some really fascinating statistics, but what really prompted the opening of our London whistleblower practice was looking at the data that the SEC provides to Congress annually, which they’re required to do under Dodd-Frank. [read post]
31 Mar 2022, 1:19 pm
Senate Bill 3316, cosponsored by Senators Charles Grassley (R-IA) and Raphael Warnock (D-GA), fixes two of the largest loopholes in the AML Act and is widely supported by whistleblower advocacy groups. [read post]
D.C. Circuit Review – Reviewed: It’s Not Rocket Science, But It’s Still a Matter of Agency Expertise
27 Mar 2022, 7:33 pm
In Doe, the court held that the SEC had reasonably interpreted its rule concerning a whistleblower’s eligibility for an award under the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
25 Mar 2022, 6:08 am
Rules 101(c)(2) and 102(d)(2) currently except nonconvertible debt securities, nonconvertible preferred securities, and asset-backed securities that are rated investment grade by at least one NRSRO. [read post]
