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20 Aug 2014, 9:30 pm
Daniel M. [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]
3 Aug 2014, 11:27 am
He also pointed to September 2012 remarks by SEC Commissioner Daniel Gallagher echoing these concerns. [read post]
25 Jul 2014, 5:00 am
Did Dodd-Frank Work? [read post]
24 Jul 2014, 5:00 am
Stein Statement at SEC Open Meeting On Money Market Fund Reform by Commissioner Daniel M. [read post]
21 Jul 2014, 11:29 am
Daniel Gallagher, a Republican member of the SEC, said the commission can’t spend all of its time writing Dodd-Frank rules. [read post]
2 Jul 2014, 4:05 am
Here are pics with some of the wonderful new people that I met: Lauren Gojkovich of Goldman Sachs: Aaron Briggs of General Electric: Charles Rivers’ Matt Daniel & Paul Weiss’ Frances Mi: Mary Francis of Chevron: Judy McLevey, who just left the NYSE: Intelligize’s Chris Walunas & Joanne Ferrara: Wendy Fried of Addison: Sara Brown of Ingersoll Rand: Damien de Bruijn of Addison: And I can’t help adding one with long-time friend Ginny Fogg of Norfolk… [read post]
18 Jun 2014, 1:00 pm
And, according to an important speech given last week by Federal Reserve Governor Daniel K. [read post]
28 May 2014, 8:27 am
With this debate in mind, Congress included in the Dodd-Frank reform bill a grant of authority to the SEC to impose a fiduciary duty on broker-dealers. [read post]
15 Apr 2014, 5:54 pm
Circuit Vacates Dodd-Frank Conflict Minerals Provision & SEC Rule as Violating First Amendment Free Speech – Washington, DC lawyer Lee Beck on his blog, the Federal Regulations Advisor For more of the best, check out LXBN, a complete review of the top insight and commentary across the LexBlog Network. [read post]
11 Apr 2014, 5:30 pm
– Winston-Salem attorney Robin Shea of Constangy on the firm’s blog, Employment & Labor Insider FTC to Examine Impact of “Big Data” on Low-Income and Underserved Communities – Washington, DC attorney Meena Harris of Covington & Burling on the firm’s blog, InsidePrivacy LinkedIn or Left Out – A Recap – Legal marketing expert Lindsay Griffiths of International Lawyers Network on Zen & The Art of Legal Networking OSHA… [read post]
24 Mar 2014, 9:05 pm
SEC to [over-]regulate business brokers under Dodd-Frank? [read post]
18 Mar 2014, 4:15 am
In addition, as discussed in the same blog post about NuSkin, Archer Daniels Midland was hit in January 2014 with a shareholders’ derivative suit after the company announced that it had settled a pending FCPA investigation. [read post]
12 Mar 2014, 12:07 pm
Daniel Dodd-Ramirez has joined the CFPB as the Assistant Director of Financial Empowerment in the Bureau’s Consumer Education and Engagement Division. [read post]
25 Feb 2014, 10:02 am
The presentations covered an array of topics, but common themes included the Commission’s ongoing effort to carry out the rulemaking agenda set forth in the Dodd-Frank Wall Street Reform and Consumer Protection Act, its role as an enforcement body post-financial crisis, its increasing utilization of technology, and its renewed focus on the conduct of gatekeepers. [read post]
8 Jan 2014, 8:05 pm
Legacy of TARP one of cronyism and lawlessness [Mark Calabria, USA Today] NYT assails a couple of academics as mouthpieces for Wall Street, Felix Salmon has a bit to say about that [Reuters, EconBrowser, Bainbridge] Daniel Fisher on a possible tie-in with Times reporter David Kocieniewski’s earlier piece flaying Goldman Sachs over aluminum warehousing [Forbes] “Court Receptive to Overturning SEC’s Conflict Minerals Disclosure Rule” [Fed Soc Blog] … [read post]
4 Jan 2014, 7:00 am
In this week’s Foreign Policy Essay, Daniel Byman posted C. [read post]
17 Dec 2013, 9:42 am
Not long after its proposal, the rule was made into law in Section 619 of the 2010 Dodd-Frank Wall Street Reform Act, to take effect upon the issuance of implementing regulations. [read post]
6 Dec 2013, 3:14 pm
Switzerland also has a long history of social equality, and many citizens were offended by cases like that of Daniel Vasella, the former chief executive of the pharmaceutical company Novartis, who this year demanded a $78 million severance package in return for a promise not to share his know-how with any competitors. [read post]
12 Nov 2013, 9:12 am
Section 342 of the Dodd Frank Act directed the SEC, and certain other federal agencies, to establish an Office of Minority and Women Inclusion. [read post]
