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21 Jul 2010, 5:09 pm
Is this a hole in Dodd-Frank? [read post]
27 Jul 2020, 5:58 am
Tarbert also noted that the adoption of the rule marked the completion of the CFTC’s required rulemakings under Section 731 of the Dodd-Frank Act.For his part, Democratic Commissioner Dan Berkovitz noted the CFTC’s progress made under Dodd-Frank was now under threat. [read post]
27 Sep 2010, 2:35 am
Fifth Circuit Reinstates SEC's Insider Trading Case Against Mark Cuban The memo below from Wayne Carlin and David Anders of Wachtell Lipton describes the latest in the Mark Cuban insider trading saga: On September 21, 2010, the Fifth Circuit Court of Appeals reversed the holding of the lower court and reinstated the SEC's insider trading charges against entrepreneur Mark Cuban. [read post]
23 Mar 2023, 7:19 am
After spending seven years as a proposal in limbo, the Securities and Exchange Commission ("SEC") adopted a "Pay Versus Performance" rule in August of 2022, finally meeting the statutory mandate set forth in the Dodd-Frank Act. [read post]
23 Jun 2017, 6:09 am
Sloan, and Mark J. [read post]
10 Feb 2023, 2:49 am
The Dodd-Frank clawback rules are not yet effective – but the checkboxes are included on the cover page of the updated Form that the SEC has published. [read post]
6 Dec 2007, 9:50 am
My friends John & Karen Dodd just sent me this message: As many of you may (or may not) know, our son, Mark Patridge, is aMarine Lieutenant in Iraq. [read post]
19 Dec 2016, 3:07 am
John Cochrane and Stephen Bainbridge on Dodd-Frank reform in a new administration; Gift of insider information to friends or family is insider trading, rules SCOTUS in Salman v. [read post]
7 Nov 2014, 5:16 am
Steve Bainbridge has a wish list for reforms to financial and securities law in the new Congress, especially the damaging Dodd-Frank and Sarbanes-Oxley laws. [read post]
14 May 2012, 1:50 pm
“With more than two decades of experience as a leader in the FDIC, including during the financial crisis and ensuing regulatory reforms, Mike brings a wealth of expertise, particularly in matters relating to Dodd-Frank,” managing partner Mark Leddy said in a written statement. [read post]
21 Jul 2010, 4:16 am
Is this a hole in Dodd-Frank? [read post]
21 Dec 2015, 5:00 am
By Mark S. [read post]
4 May 2011, 2:38 pm
These rules were promulgated under the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Reform Act"). [read post]
17 May 2011, 5:00 am
It had been in earlier versions of Dodd-Frank. [read post]
25 Mar 2010, 8:07 am
To that end, Chairmen Dodd and Frank plan to begin working out such differences in the near future, in order to expedite conference proceedings. [read post]
25 Mar 2010, 8:07 am
To that end, Chairmen Dodd and Frank plan to begin working out such differences in the near future, in order to expedite conference proceedings. [read post]
13 Apr 2011, 11:35 am
Section 113 of Dodd-Frank authorizes the Council to designate hedge funds, mutual funds and other firms systemically important enough to pose a threat to financial stability. [read post]
22 Apr 2010, 5:03 pm
These statutes can be slightly modified to account for the reality of derivatives in modern finance (e.g., allow “mark to market” collateral adjustments to continue until the derivative is assumed or rejected). [read post]
6 Dec 2011, 5:15 am
Even Republican Attorney General Mark Shurtleff of Utah has come forward to support Cordray in this effort. [read post]
11 Nov 2016, 5:00 am
Donald Trump’s Transition Team: We Will ‘Dismantle’ Dodd-Frank in the Wall Street Journal The brief note on Mr. [read post]
