Search for: "Harry Dodds"
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12 Aug 2011, 4:01 am
. * * * Moreover, the SEC is still studying the broker-dealer fiduciary issue pursuant to Dodd-Frank. [read post]
15 Mar 2012, 6:37 am
It seems the additions to whistleblower statutes, including enhanced incentives related to the Dodd-Frank bill, have encouraged whistleblowers to step forward and feel safe exposing wrongdoings. [read post]
21 Nov 2010, 1:00 pm
Read Harry Markopolis' book to see how many of those firms' "compliance" efforts worked, as Madoff's enablers ignored glaring warning signs that multiplied over the life of the scheme. [read post]
22 Jul 2007, 12:29 pm
Christopher Dodd. [read post]
20 Oct 2023, 6:30 am
Securities and Exchange Commission, on Saturday, October 14, 2023 Tags: Dodd-Frank Act, FINRA, SEC, Short Sale Activity Boards Confront Evolving Risks and Pressures During Another Disruptive Year Posted by Amy Rojik, BDO, on Sunday, October 15, 2023 Tags: Board of Directors, Cybersecurity, ESG, SEC The Social Costs (and Benefits) of Dual-Class Stock Posted by Gregory H. [read post]
2 Jun 2007, 3:21 pm
It began by accusing House Speaker Nancy Pelosi and Senate Majority Leader Harry Reid of cowardice. [read post]
15 Nov 2007, 8:31 pm
Senate Panel Approves Immunity for Spying Telcos AT&T Whistle-Blower Hits DC To Stop Telecom Spying Immunity Senator Dodd Announces He Will Stop Telecom Immunity Bill - Updated Ashcroft Argues to Absolve Telcos, THREAT LEVEL Calls for ... [read post]
29 Jan 2008, 3:05 pm
Harry Reid: Spying Extension or No Wiretaps Spying Showdown Pushed to Hours Before State of Union Address; No ... [read post]
22 Sep 2011, 5:27 pm
Former CFTC Chief Economist Jeff Harris said that the recommended Chief Economist Council is particularly innovative, and holds the promise to improve interagency cooperation and to give economists more visibility beyond the walls of an individual agency. [read post]
11 Aug 2016, 6:16 am
It took six years since the passage of Dodd-Frank, but in January 2016, the SEC announced the first-ever whistleblower award to an outsider. [read post]
20 Oct 2023, 6:30 am
Securities and Exchange Commission, on Saturday, October 14, 2023 Tags: Dodd-Frank Act, FINRA, SEC, Short Sale Activity Boards Confront Evolving Risks and Pressures During Another Disruptive Year Posted by Amy Rojik, BDO, on Sunday, October 15, 2023 Tags: Board of Directors, Cybersecurity, ESG, SEC The Social Costs (and Benefits) of Dual-Class Stock Posted by Gregory H. [read post]
6 Nov 2010, 4:58 am
ANOTHER UPDATE: Dodd Harris says the comparison is unfair — to Don Draper: I don’t think that analogy is entirely fair – to Don Draper. [read post]
27 Aug 2008, 7:27 am
" It was as if Warner were acknowledging a constituency that feels as if the Bush administration had thrown a Harry Potter invisible cloak over it for the past eight years. [read post]
25 Sep 2008, 1:58 am
” Senate Majority Leader Harry Reid, D-Nev. explained that wealthier homeowners often find it easy to seek mortgage assistance from bankruptcy judges, but that those who aren’t wealthy cannot. [read post]
18 Jan 2023, 12:00 am
In what has been condemned as a publicity stunt, immigrants were even dropped off at the residence of Vice President Harris and at 30th Street Station in Philadelphia. [read post]
23 Dec 2016, 1:00 am
Eisenberg, K&L Gates LLP, on Monday, December 19, 2016 Tags: Accounting, Asset management, Broker-dealers, Conflicts of interest, Disclosure, Dodd-Frank Act, FCPA, Fiduciary duties, Hedge funds, Insider trading, Investment advisers, Private equity, SEC, SEC enforcement, Securities enforcement A New Administration: Change and Continuity in Securities Regulation Posted by William McLucas & Harry Weiss, Wilmer Cutler Pickering Hale and Dorr LLP, on Monday, December 19,… [read post]
22 Jun 2018, 6:01 am
Gerard Comizio, Fried, Frank, Harris, Shriver & Jacobson LLP, on Monday, June 18, 2018 Tags: Banks, Capital requirements, Compliance and disclosure interpretation, Dodd-Frank Act, FDIC, Federal Reserve, Financial institutions, Financial regulation, Liquidity, Mutual funds, OCC, Proprietary trading, Volcker Rule T. [read post]
4 Jan 2012, 1:22 pm
Olympia Snowe (R-ME), who was one of only three Republicans to vote for Dodd-Frank, voted “present. [read post]
23 Jan 2008, 2:33 pm
Smith Goes to Washington-like opposition by Senator Christopher Dodd (D-Connecticut) that won a month's reprieve for anti-immunity forces. [read post]
4 Feb 2022, 5:53 am
Securities and Exchange Commission, on Saturday, January 29, 2022 Tags: Dodd-Frank Act, Executive Compensation, Financial reporting, Incentives, Pay for performance, Performance measures, SEC, Securities regulation Chancery Court Allows deSPAC Litigation to Proceed Posted by John R. [read post]
