Search for: "Dodd v. State" Results 261 - 280 of 1,127
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24 Apr 2018, 5:54 am by Doug Cornelius
But if you look through the Act or the regulations you will not find a fiduciary duty stated. [read post]
23 Apr 2018, 4:37 am by John Jascob
Jason Howard, J.D.The United States District Court for the District of New Jersey has determined that a former UBS employee's testimony before FINRA did not equate to providing information to the SEC as required by the Dodd-Frank Act’s definition of “whistleblower” (Price v. [read post]
17 Apr 2018, 8:40 pm by Adam Levitin
 The CRA states that a rule may not "take effect," until the rule and its proposed effective date have been transmitted to Congress. [read post]
10 Apr 2018, 2:40 pm
This willingness of states and other public organs to delegate is especially potent with respect to rules states are unwilling or incapable of adopting through traditional assertions of public authority. [read post]
9 Apr 2018, 9:30 pm by Justin S. Daniel
The court’s decision in the case of PHH Corporation v. [read post]
6 Apr 2018, 6:08 am
Stulz (Ohio State University), on Friday, March 30, 2018 Tags: Board oversight, Cash flows, Cybersecurity, Equity-based compensation, Executive Compensation, Firm valuation, Leverage, Market reaction, Privacy, Public firms, Risk management, Risk-taking, Shareholder value, Target firms An Early Look at the State of U.S. [read post]
5 Apr 2018, 8:24 am by CFM Admin
Further, the Chairman stated most ICOs to date that he has seen have been offers and sales of securities. [read post]
23 Mar 2018, 9:47 am by Daniel Nathan
Fifth Circuit’s Decision The Fifth Circuit’s decision striking down the DOL’s Fiduciary Rule in Chamber of Commerce v. [read post]
22 Mar 2018, 4:31 pm by Kevin LaCroix
Supreme Court’s February 21, 2018 decision in the Digital Realty Trust, Inc. v. [read post]
14 Mar 2018, 12:46 am by Kevin LaCroix
On January 12, 2018, the Supreme Court decided to take up one of these cases, Lucia v. [read post]
7 Mar 2018, 2:45 pm by Aurora Barnes
United States 17-1099 Issues: (1) Whether the “anti-spoofing” provision of the Dodd-Frank Act, 7 U.S.C. [read post]
4 Mar 2018, 12:49 pm by Sabrina I. Pacifici
Somers, the United States Supreme Court unanimously decided that employees who raise internal complaints about possible violation of securities laws are not protected as whistleblowers under the Dodd-Frank Act. [read post]