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28 Jul 2016, 1:59 pm
Louis and Lawrence Koplow; Managing a Practice from the Stone Age to the Digital Age in 10 Easy Steps, taught by Bruce Edge and Matt Dodd; Writing Winning Appeals, taught by Don Ramsell and Michelle Behan. [read post]
16 May 2011, 5:00 am
Given all of the rule-making from Dodd-Frank, it’s hard to imagine that the SEC will find the bandwidth to revisit the rule in the near future. [read post]
18 May 2012, 5:00 am
” At the SEC, Investigations About Investigators Who Investigate Other Investigators by Bruce Carton in Compliance Week David Kotz, the former SEC Inspector General, departed the agency in January 2012 to rejoin the private sector, and it seemed as if this surge of “investigations of investigations” had ended. [read post]
12 Aug 2010, 5:00 am
(Thanks for pointing this out Bruce.) [read post]
28 Jul 2016, 1:59 pm
Louis and Lawrence Koplow; Managing a Practice from the Stone Age to the Digital Age in 10 Easy Steps, taught by Bruce Edge and Matt Dodd; Writing Winning Appeals, taught by Don Ramsell and Michelle Behan. [read post]
10 Apr 2015, 5:00 am
SEC Brings First Action on Whistleblower ‘Pre-taliation’ by Bruce Carton in Compliance Week The SEC has warned for some time now that it views companies’ attempts to potentially intimidate employees from coming forward as whistleblowers through confidentiality agreements as a form of retaliation — or “pre-taliation,” as the SEC’s Sean McKessy has dubbed it. [read post]
28 Jul 2016, 1:59 pm
Louis and Lawrence Koplow; Managing a Practice from the Stone Age to the Digital Age in 10 Easy Steps, taught by Bruce Edge and Matt Dodd; Writing Winning Appeals, taught by Don Ramsell and Michelle Behan. [read post]
5 Feb 2018, 8:36 am
Bruce Tuckman, to develop a more accurate measurement of the swaps market, with a specific focus on the market’s risk transfer functions. [read post]
18 Jun 2013, 1:15 am
ICYMI: SEC Make Second Whistleblower Award: On June 12, 2013, the SEC made its second award under the Dodd-Frank whistleblower provisions. [read post]
30 Mar 2018, 6:01 am
Goldstein, Schulte Roth & Zabel LLP, on Sunday, March 25, 2018 Tags: Boards of Directors, Hedge funds, Institutional Investors, Long-Term value, Proxy advisors, Proxy contests, Shareholder activism, Shareholder voting Senate Rollback of Dodd-Frank Posted by Lee Meyerson, Keith Noreika, and Mark Chorazak, Simpson Thacher & Bartlett LLP, on Monday, March 26, 2018 Tags: Banks, Dodd-Frank Act, Financial… [read post]
25 Sep 2008, 11:11 pm
Chris Dodd and the Treasury Department online. [read post]
19 Dec 2006, 2:49 am
Bruce Religion Center on the University's central campus. [read post]
20 Nov 2015, 6:09 am
[More…] SEC’s Piwowar Takes Another Shot at ‘Flawed’ Enforcement Statistics by Bruce Carton in Compliance Week In his remarks this week at the 34th Annual Current Financial Reporting Issues Conference, SEC Commissioner Michael S. [read post]
12 Jan 2011, 11:39 pm
Local organizations and businesses are effusive with their praise for the transaction - everyone from the Ottawa Senators to retailer Tommy & Lefebvre to the Westin Hotel in Ottawa to the Surrey Honda auto dealership to Dodd's Furniture and Mattress in Victoria, BC to the Soho Bar and Grill in Calgary took the time to chime in with support. [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]
2 May 2011, 8:12 am
Update on Dodd-Frank Investment Adviser Registration Requirements Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), which became law on July 21, 2010, repealed effective July 21, 2011, the private advisor exemption from registration as an investment adviser under the Investment Advisers Act of 1940 (Advisers Act). [read post]
17 Jan 2013, 6:36 am
Karpati suggested that hedge funds can expect to see an increase in on-site exams in light of the Dodd-Frank Act, which subjects more private fund advisers to regulatory oversight. [read post]
15 Nov 2011, 5:00 am
The panel was able to report that the Division of Corporation Finance (CorpFin) have proposed or adopted everything under Dodd-Frank that had a deadline. [read post]
17 Jun 2009, 2:00 am
Bruce Braley on June 16, 200906/16/2009
Legislative Text of the Legislative Branch Appropriations Act for Fiscal 2010, H.G.W. 109 (PDF 408 KB)Text of the Bill as Ordered Reported by the House Appropriations Committee on June 12, 200906/16/2009
Legislative Text of the Medical Efficiency and Delivery Improvement of Care (MEDIC) Act (S. 1262)Text of the Bill as Introduced by Sen. [read post]
21 Sep 2020, 9:42 am
The Dodd-Frank Act mandated the creation of the CAB to advise and consult with the Bureau’s Director on a variety of consumer financial issues. [read post]
