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16 Sep 2015, 6:38 am
The question of law presented was whether the Dodd-Frank Act’s whistleblower anti-retaliation provision offers protection to an employee who, like Mr. [read post]
27 Jan 2011, 5:05 pm
Citing budgetary concerns, the SEC has deferred the creation of the Investor Advisory Committee mandated by Section 911 of Dodd-Frank. [read post]
23 May 2024, 1:00 am
Frank Bruni is a contributing opinion writer at the New York Times and an author. [read post]
6 Apr 2012, 10:22 am
These assurances were subsequently followed up by formal letters and colloquies by the architects of the Dodd-Frank Act. [read post]
30 Nov 2011, 3:58 pm
Steve Stivers (R-OH), HR 2779, would exempt inter-affiliate swaps from the Dodd-Frank definition of swap. [read post]
22 Dec 2010, 11:39 am
Bachus voiced concern over the direction and pace of the SEC-CFTC efforts to implement the derivatives regulatory regime mandated by the Dodd-Frank Act; and warned that derivatives regulations adopted hastily and without due care could damage the economy.At the time the Dodd-Frank Act was passed by the House, Reps. [read post]
23 Jun 2011, 8:53 am
Senator Bob Corker (R-TN) an influential member of the Banking Committee, asked regulators to improve the qualified residential mortgage rules under the proposed regulations implementing the risk retention requirements of Dodd-Frank. [read post]
20 Jul 2010, 7:59 am
The Dodd-Frank Act needs a theory. [read post]
3 May 2013, 2:36 pm
The legislation is not a radical departure from the reforms effected by the Dodd-Frank Act, and will not ``blow a hole in the bottom of Dodd-Frank. [read post]
23 Aug 2011, 1:39 am
Particularly important under Dodd-Frank is whether and how their policies will cover internal corporate investigations caused by whistleblowers out to recover a bounty (10 to 30 percent) on potential penalties collected by the SEC in excess of $1 million. [read post]
3 Aug 2010, 8:00 am
Zuckerman will discuss Sections 1057, 922 and 748 of the Dodd-Frank Act. [read post]
2 Apr 2012, 3:00 pm
HR 2779 would exempt inter-affiliate swaps from the Dodd-Frank definition of swap. [read post]
27 Oct 2012, 7:44 am
On September 25, 2012, a federal judge in Connecticut resolved an apparent tension between the anti-retaliation provision of the Dodd-Frank Act (“Dodd-Frank” or the “Act”) and the definition of “whistleblower” under that Act in a way that broadly interprets the protections afforded to employees who report issues they “reasonably believe” constitute violations of the securities laws, even where the employee has never raised the issue… [read post]
4 Sep 2022, 9:01 pm
Name: Cali Franks Employer/Organization: Lawline Practice Area(s): Online CLE Why did you join the TYLA board? [read post]
18 Jun 2011, 1:40 pm
Dodd-Frank provides for CFTC regulation of swaps, SEC regulation of security-based swaps, and joint CFTC-SEC regulation of mixed swaps. [read post]
21 Jul 2010, 11:56 am
I mentioned before that one big idea of Dodd-Frank was almost Goldman Sachs. [read post]
29 Jul 2011, 7:46 am
” Now comes this hilarious parody from “the Daily Show,” with John Oliver as a bloodied version of Dodd-Frank. [read post]
29 Mar 2018, 11:48 am
The language of Dodd-Frank, however, is not as clear on this issue. [read post]
9 Apr 2004, 4:46 am
In Friday's corporations and securities law news, prosecutors preparing for Tuesday's scheduled opening of the retrial of former Credit Suisse First Boston banker Frank Quattrone will look to attack his credibility with evidence about the relationship between research coverage by CSFB and investment banking fees. [read post]
26 Oct 2020, 12:42 pm
Continue Reading › The post Another Customer Files REIT Losses Claim Against Frank Briseno III of FSC Securities and Nettworth Financial appeared first on Investor Lawyers Blog. [read post]
