Search for: "Clayton Dodds"
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29 Sep 2017, 6:34 am
Securities and Exchange Commission Posted by Jay Clayton, U.S. [read post]
29 Mar 2019, 6:09 am
Rose, Sidley Austin LLP, on Sunday, March 24, 2019 Tags: Anti-corruption, CFTC, Commodities, Commodities Exchange Act, Dodd-Frank Act, DOJ, FCPA, International governance, Misconduct, SEC, Securities enforcement PE Professionals on the Boards of their Portfolio Companies Posted by Glenn West and Miae Woo, Weil, Gotshal & Manges LLP, on Monday, March 25, 2019 Tags: Boards of Directors, Books and… [read post]
8 Jun 2018, 6:47 am
Securities and Exchange Commission, on Thursday, June 7, 2018 Tags: Banks, Dodd-Frank Act, Federal Reserve, Financial crisis, Financial institutions, Financial regulation, Hedge funds, Hedging, Investor protection, Moral hazard, Private equity, Proprietary trading, Risk, Securities regulation, Systemic risk, Volcker Rule Statement at Open Meeting on Inter-Agency Proposal for Amendments to the Volcker… [read post]
18 Dec 2020, 5:58 am
Securities and Exchange Commission, on Thursday, December 17, 2020 Tags: Anti-corruption, Conflicts of interest, Disclosure, Dodd-Frank Act, ESG, FCPA, International governance, SEC, SEC rulemaking, Securities regulation Statement on Adoption of Resource Extraction Disclosure Rules Posted by Jay Clayton, U.S. [read post]
24 Aug 2018, 6:06 am
Springer, Gibson, Dunn & Crutcher LLP, on Wednesday, August 22, 2018 Tags: Banks, Capital requirements, Charter & bylaws, Consumer protection, Dodd-Frank Act, Financial institutions, Financial regulation, Financial technology, OCC, Risk, Stress tests Statement on Investor Roundtables Regarding Standards of Conduct for Investment Professionals Rulemaking Posted by Jay Clayton, U.S. [read post]
2 Mar 2020, 8:18 am
Building upon the majority’s emphasis during the first session of the 116th Congress on consumers and investors, the majority said the SEC’s forthcoming budget should focus on enforcement, examinations, and finishing Dodd-Frank Act rulemakings. [read post]
18 Oct 2018, 7:57 am
Circuit resulted in the NetCoalition II decision in which the court held that the Dodd-Frank Act deprived it of jurisdiction over the appeal. [read post]
22 Apr 2021, 9:41 am
With respect to securities regulation, the House FSC’s budget views call for "robust funding" of the SEC in FY22 and for the SEC to finish its Dodd-Frank Act rulemakings. [read post]
5 Apr 2018, 8:24 am
Chairman Clayton expressed his support for new technological innovations in the financial markets, while emphasizing that these innovations should not be made at the expense of protecting investors and markets. [read post]
9 Jul 2021, 7:07 am
As Chair of the CFTC, Gensler stood up for the agency’s derivatives and swaps reforms under the Dodd-Frank Act. [read post]
22 Nov 2019, 5:51 am
Smith, EY Center for Board Matters, on Friday, November 15, 2019 Tags: Boards of Directors, Corporate culture, Corporate Social Responsibility, Disclosure, Diversity, ESG, Human capital, SEC, Securities regulation JV Directors Duty of Loyalty Posted by Meghan McGovern, Tracy Branding, and James Bamford, Water Street Partners LLC, on Saturday, November 16, 2019 Tags: Boards of Directors, Conflicts of… [read post]
11 May 2022, 9:01 pm
My predecessor Jay Clayton said it, and I will reiterate it: Without prejudging any one token, most crypto tokens are investment contracts under the Supreme Court’s Howey Test. [read post]
4 Jan 2021, 9:00 am
SEC Chairman Jay Clayton further argued that there are “people who have the sophisticated ability to assess investments who do not meet those [current] wealth thresholds... [read post]
15 Jul 2010, 8:34 am
Now, however, a new form of antitrust arrives – in the form of the Kanjorski Amendment, whose language was embedded in the Dodd-Frank bill. [read post]
21 Sep 2018, 6:10 am
Securities and Exchange Commission, on Saturday, September 15, 2018 Tags: Boards of Directors, Institutional Investors, Proxy advisors, Retail investors, SEC, Securities regulation, Shareholder voting Remarks to the SEC Investor Advisory Committee Posted by Jay Clayton, U.S. [read post]
29 Sep 2015, 10:01 pm
Dodd are representing Kilgore. [read post]
3 Aug 2018, 6:10 am
Securities and Exchange Commission, on Tuesday, July 31, 2018 Tags: Broker-dealers, Conflicts of interest, Duty of care, Duty of loyalty, Fiduciary duties, FINRA, Form ADV, Form CRS, Governance standards, Investment advisers, Investor protection, Retail investors, SEC, Securities regulation Statement Announcing SEC Staff Roundtable on the Proxy Process Posted by Jay Clayton, U.S. [read post]
25 Feb 2011, 12:10 pm
Clayton, wrote, “…setting price caps is un-American and this is even worse. [read post]
10 May 2019, 6:17 am
Senate Committee on Appropriations Posted by Jay Clayton, U.S. [read post]
15 Dec 2017, 6:13 am
Securities and Exchange Commission, on Wednesday, December 13, 2017 Tags: Accounting, Audits, Broker-dealers, External auditors, Investor protection, Oversight, PCAOB, Sarbanes–Oxley Act, SEC, Securities regulation Statement on Cryptocurrencies and Initial Coin Offerings Posted by Jay Clayton, U.S. [read post]
