Search for: "JULIE FRANK"
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21 Jul 2020, 3:38 pm
The Dodd-Frank Act became law in July 2010, and agency rules governing the Dodd-Frank whistleblower programs took effect in 2011. [read post]
9 Aug 2022, 3:15 am
A recent 2nd Circuit decision pared back the scope of the claims for which compensation may be received under Dodd Frank’s whistleblower provisions. [read post]
21 Aug 2013, 3:39 am
Lighting a Fire Under Dodd-Frank Implementation? [read post]
18 Jul 2011, 1:08 pm
NOTE: A previous Connecticut administrative order from October 14, 1997 granting the de minimis exemption under Section 203(b)(3) of the Investment Advisers Act of 1940 for certain investment advisers is repealed, effective July 21, 2011 because the federal de minimis exemption under Section 203(b)(3) is, itself, repealed by the Dodd-Frank Act on July 21.The following investment advisers are exempt from registration in Connecticut under Ct. [read post]
26 Aug 2010, 9:30 am
Record, July 15, 2010. p. [read post]
30 Jan 2007, 12:10 am
Juror Laa: Frank. [read post]
1 Jul 2010, 6:34 am
The Dodd-Frank Act: A Moving Target? [read post]
20 Jul 2011, 3:55 pm
The SEC announced its agenda for an Open Meeting on July 26, 2011: Item 1: The Commission will consider whether to adopt Rule 13h-1 and Form 13H under Section 13(h) of the Securities Exchange Act, to establish a large trader... [read post]
2 Nov 2017, 2:17 pm
November 20 at the Frank C. [read post]
29 May 2014, 10:43 am
The Mercatus Center and Cato Institute are co-hosting a program July 16-17, “After Dodd-Frank: The Future of Financial Markets. [read post]
8 Sep 2011, 10:12 pm
worldAtWork: Tracking Dodd-Frank Wall Street Reform and Consumer Protection Act (Updated September 8, 2011: "On Wednesday, July 21, 2010, President... [read post]
Banking Regulators: Effective Date of Swap Push Out Provision Section 716 of Dodd Frank is July 2013
2 Apr 2012, 1:27 pm
On Friday, March 30th, the Federal Reserve Board, the OCC and the FDIC clarified that the effective date of the Swap Push Out Provision - Section 716 of the Dodd-Frank Act - is July 16, 2013. [read post]
9 Sep 2011, 6:46 am
The NYT discusses various businesses which have sprung up in reaction to Dodd-Frank: Call it Dodd-Frank Inc. [read post]
22 Jul 2014, 3:40 pm
July 21, 2014: “Regulators have made tremendous progress in implementing the Dodd-Frank Act. [read post]
23 Jul 2014, 7:53 am
On July 16, 2014, the lawsuit was dismissed for lack of prosecution. [read post]
16 May 2011, 12:36 pm
Touro Law announces a three-day conference, Persecution Through Prosecution: Alfred Dreyfus, Leo Frank and the Infernal Machine, in Paris, France, July 5-7, 2011. [read post]
20 Sep 2010, 8:21 am
Also between October and December, the SEC plans to propose rules to implement the Dodd-Frank Act’s requirements that companies provide more disclosure related to “conflict minerals,” mine safety information, and resource extraction.The SEC said it would address other Dodd-Frank mandates between April and July 2011, including: the disclosure of pay-for-performance, pay ratios, and stock hedging by employees and directors; the recovery (or… [read post]
21 Jul 2010, 3:15 pm
On Wednesday, July 21, 2010, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. [read post]
26 Aug 2011, 4:17 am
In July, Romney was unable to name specific parts of the bill that he liked or disliked. [read post]
8 Sep 2013, 5:26 am
The moratorium, set forth in section 603 of the Dodd-Frank Act, ended on July 21, 2013, and it is now again legally permissible for any type of company—retailer, manufacturer, or any type of nonfinancial firm—to seek to acquire or establish such an FDIC-insured bank. [read post]
