Search for: "Kim Dodds"
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15 Nov 2023, 6:26 am
The Securities and Exchange Commission filed 784 total enforcement actions in fiscal year 2023, a 3 percent increase over fiscal year 2022, including 501 original, or “stand-alone,” enforcement actions, an 8 percent increase over the prior fiscal year. [read post]
14 Nov 2023, 9:01 pm
The Securities and Exchange Commission announced that it filed 784 total enforcement actions in fiscal year 2023, a 3 percent increase over fiscal year 2022, including 501 original, or “stand-alone,” enforcement actions, an 8 percent increase over the prior fiscal year. [read post]
22 Jun 2023, 9:05 pm
IN THE NEWS The Iowa Supreme Court declined to lift a block on the state’s six-week abortion ban which a lower court had established after Iowa Governor Kim Reynolds signed the ban into law in 2018. [read post]
4 Apr 2023, 6:31 am
Kim, and Linda Pappas. [read post]
4 Apr 2023, 6:31 am
Kim, and Linda Pappas. [read post]
23 Dec 2022, 6:30 am
Kim and Leon E. [read post]
23 Dec 2022, 6:30 am
Kim and Leon E. [read post]
5 Sep 2022, 9:01 pm
The final rules implement the “pay versus performance” disclosure requirements mandated by Section 953(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act enacted in 2010. [read post]
25 Aug 2022, 9:01 pm
In 2010, Congress under the Dodd-Frank Act directed the Commission to provide clear disclosure to investors on the relationship between companies’ executive compensation actually paid and financial performance. [read post]
11 Mar 2022, 6:01 am
SEC Proposes Additional Private Fund Disclosures Posted by Ellen Kaye Fleishhacker, Robert Holton, and Patrick Derocher, Arnold & Porter LLP, on Friday, March 4, 2022 Tags: Disclosure, Dodd-Frank Act, Form PF, Hedge funds, Institutional Investors, Private equity, Private funds, SEC, SEC rulemaking, Securities regulation The Further Erosion of Investor Protection: Expanded Exemptions, SPAC Mergers, and Direct Listings Posted by… [read post]
6 Jan 2022, 1:34 pm
It includes awards under the Dodd-Frank SEC Whistleblower and CFTC Whistleblower Programs. [read post]
6 Jan 2022, 1:34 pm
It includes awards under the Dodd-Frank SEC Whistleblower and CFTC Whistleblower Programs. [read post]
5 Nov 2021, 5:49 am
Friedman (UCLA), and Hwa Young Kim (UCLA), on Monday, November 1, 2021 Tags: Blockholders, Common ownership, Executive Compensation, Incentives, Ownership, Pay for performance Speech by Commissioner Roisman on Cybersecurity Posted by Elad L. [read post]
18 Jan 2021, 4:15 pm
The Rules implement Section 13(q) of the Securities Exchange Act of 1934, which Congress enacted in 2010 as part of the Dodd-Frank Act. [read post]
24 Apr 2020, 5:37 pm
The district court noted the plight of David Dodd, a retired veteran. [read post]
21 Feb 2020, 6:13 am
Kim, Wachtell, Lipton, Rosen & Katz, on Monday, February 17, 2020 Tags: Banks, Boards of Directors, Change in control, Federal Reserve, Financial institutions, Financial regulation, Financial technology, Private equity, Securities regulation, Shareholder activism Proposed Amendments to Financial Disclosure and Guidance on Use of Metrics in Management Discussion and Analysis Posted by Mark S. [read post]
20 Dec 2019, 6:10 am
Kim, and Matthew M. [read post]
22 Nov 2019, 5:51 am
Securities and Exchange Commission, on Saturday, November 16, 2019 Tags: Disclosure, Dodd-Frank Act, Engagement, ESG, Exchange-traded funds, Investment advisers, Investor protection, LIBOR, Proxy voting, Retail investors, SEC, SEC rulemaking, Securities regulation, Shareholder voting PCAOB Corporate Governance Posted by Cydney Posner, Cooley LLP, on Sunday, November 17, 2019 … [read post]
5 Nov 2019, 7:07 am
” Kobre & Kim represented the defendants in that litigation. [read post]
2 Oct 2019, 9:34 am
However, a NAL can cover the full panoply of consumer financial protection statutes (including the Dodd-Frank UDAAP prohibition) within the CFPB‘s jurisdiction. [read post]
