Search for: "Kim Dodds"
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6 Jan 2022, 1:34 pm
It includes awards under the Dodd-Frank SEC Whistleblower and CFTC Whistleblower Programs. [read post]
20 Oct 2017, 6:05 am
Kim, and Matthew M. [read post]
13 Nov 2013, 11:48 am
Kim PhanAs a follow-up to our recent post on Director Cordray’s plans on whether to pursue political office, we offer the highlights below from last week’s Politico Morning Money Breakfast Briefing. [read post]
13 Sep 2011, 2:13 pm
Check out the posts by the other contributors including, Kim Krawiec (Duke), Christie Ford (Univ. [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]
6 Jun 2011, 11:27 am
NAFA Executive Director Kim O’Brien tells ANN what may be ahead and what advisors need to be aware of. ? [read post]
12 Sep 2011, 9:29 pm
Dodd-Frank is chock full o’ provisions that aim to do just this. [read post]
3 Nov 2010, 3:11 pm
Kim Krawiec, in our Masters Forum over the summer on Dodd-Frank, counted 243 rulemakings and 67 studies required by the Act. [read post]
12 Apr 2012, 11:56 am
" I thus had no intention of complimenting Congress for its work in Dodd-Frank. [read post]
24 Sep 2010, 1:42 pm
And he also hopes that the SEC itself will become more diverse, consistent with the provision for a new SEC Office of Minority and Women Inclusion in Section 342 of Dodd-Frank. [read post]
5 Jan 2012, 7:49 am
Rapp, Regulating On-line Peer-to-Peer Lending in the Aftermath of Dodd-Frank (comments by Andrew Verstein) Stavros Gadinis, From Independence to Politics in Banking Regulation (comments by Shruti Rana) Wulf A. [read post]
18 May 2011, 11:25 pm
The topic is intended to be broad, to encourage submissions that deal with the state and federal “corporate law” systems, questions about Dodd-Frank and its governance role, as well as international corporate and business topics. [read post]
31 Aug 2012, 6:09 am
Kahane (1977), Kim and Santomero (1988), Furlong and Keeley (1989), Rochet (1992), and Blum (1999) study models to determine if capital regulations decrease the risk of insolvency. [read post]
2 May 2011, 4:25 am
If Sarbanes-Oxley and Dodd-Frank were hats [read post]
20 Jul 2011, 11:55 am
MORE: Dodd Harris emails: “Obama is acting like a deer caught in the headlights.” I don’t think he’s acting. [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]
11 Oct 2011, 4:10 am
In addition, the US District Court for the Western District of Washington continued the trend of granting employers summary judgment on a Section 806 claim on causation grounds in Kim v. [read post]
9 Aug 2010, 9:30 pm
Walter Dodd then rose to take the defense case, with A.L. [read post]
21 Jul 2010, 7:47 am
He asks me: Kim: Congress seeking to take credit and shift blame is not unique to financial regulation. [read post]
13 Sep 2011, 11:21 am
Kim's attempt to summarize the first set of posts from yesterday has us waiting for Superwoman. [read post]
