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About 809 results for "dodd frank"

The Man Who Blew the Whistle
AdvisorOne

The Man Who Blew the Whistle

There are implications to breaking the silence that Dodd-Frank can't control. In a rare occurrence, a former MassMutual employee is speaking out about the recent whistleblower complaint he made to the Securities and Exchange Commission after ... AdvisorOne, 1 hour ago
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AdvisorOne

Second Circuit holds whistleblower anti-retaliation provision does not apply extraterritorially

In a closely-watched decision interpreting the Dodd-Frank Act's whistleblower provision, the Second Circuit Court of Appeals last week affirmed the Southern District of New York's decision in Liu v. Siemens A.G. and became the first federal court of ...
 Lexology5 hours ago Second Circuit Rejects Extraterritorial Application of Dodd-Frank's Whistleblower Anti-Retaliation Provision  JD Supra22 hours ago Dodd-Frank Retaliation Protections Do Not Apply Outside of US, Federal Appeals Court Rules  XpertHR23 hours ago Second Circuit Holds That Dodd-Frank Act Does Not Protect Whistleblower Outside U.S. Territory  JD Supra1 day ago
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Whistleblower antiretaliation provision does not apply outside the U.S.

The Court of Appeals for the Second Circuit ruled today that the Dodd-Frank Act's prohibition on retaliation against whistleblowers does not apply extraterritorially. In affirming the dismissal of the case on extraterritoriality grounds, the court ...
 Lexology1 day ago

Open Meeting on Seventh Series of Proposed Rules under the Dodd-Frank Act

The Commodity Futures Trading Commission (CFTC) will hold a public meeting to consider the issuance of proposed rulemakings under the Dodd-Frank Wall Street Reform and Consumer Protection Act. When: Thursday, December 9, 2010, 9:30 AM (ET) Where: ...
 CFTC.gov5 days ago Open Meeting on Fifth Series of Proposed Rules under the...  CFTC.gov5 days ago

End-user exception from the clearing mandate and the trade execution requirement under Dodd-Frank Act

Executive Summary For most commercial end-users of swaps, the mandatory clearing requirement under Dodd-Frank first became applicable on September 9, 2013. Since then, many commercial end-users have relied on the so called end-user exception from ...
 Lexology6 days ago Dodd-Frank doesn't end 'too big to fail'  American Enterprise Institute2 weeks ago

Low Volatility And Dodd-Frank Compliance Drives Slide In Energy Futures Trading Volumes

Summary A number of structural and capital market shifts are leading to a sharp decline in trading volumes on major energy futures exchanges. Much reduced price volatility, and the large scale exodus of investment banks from the physical energy ...
 Seeking Alpha6 days ago
AltAssets.net

US Banks Want More Time To Sell Their Risky Investments

US banks are lobbying to delay a provision of the 2010 Dodd Frank law, which calls for banks to do away with their investments in venture-capital and private-equity funds by 2015 Click Ticker to See live coverage US banks are hoping to delay ...
 Bidness Etc1 week ago Banks Seek Up To Seven Year Delay In Volcker Rule  FINalternatives6 days ago Banks lobby Federal Reserve to delay Volcker rule  AltAssets.net1 week ago Banks lobby to delay Volcker rule  Seeking Alpha1 week ago
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Dodd-Frank is a success: Other views

Paul Krugman, The New York Times OUR VIEW: Financial reform gets mixed grades Republican staff, House Committee on Financial Services: "The 2008 financial crisis presented Congress, the regulators and the financial markets with an opportunity to ...
 USA Today1 week ago MICHEL Housing finance reform Its still about investment guarantees  Big News Network1 week ago
Scottrade

NetFortris Intros Dodd-Frank Compliant Unified Communications Solution for Financial Sector

The world of finance is governed by a set of extremely stringent compliance rules. The communication solutions used in the financial sector are designed to comply with the toughest of external regulations, as well as the companies internal policies.
 TMC Net1 week ago Compliance at Financial Services Firms Falls Short  AdvisorOne1 day ago Compliance Investment and Commitment Falls Short  Scottrade6 days ago
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Dodd-Frank news - RESPA - July, 2014

Roth v. CitiMortgage Inc., 13-3839-CV, 2014 WL 2853549 (2d Cir. June 24, 2014). In Roth v. CitiMortgage Inc., the Second Circuit held that although the mortgagor's attorney had sent three letters to defendant CitiMortgage requesting various ...
 Lexology2 weeks ago
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