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Another Dodd-Frank Sleeper: Diversity Requirements
Little-known provision may have major impact on financial institutions that contract with agencies.
Changes in Securities Enforcement Thanks to Dodd-Frank
Landmark legislation brings sweeping changes to securities enforcement landscape.
Provision to Reverse Stoneridge Not Dead Yet
House members of conference committee agree to insert amendment into House version of financial reform bill.
Senators Reject House Plan to Reverse Stoneridge, Widen Scope of Fraud Lawsuits
House proposal would have reversed Supreme Court’s 2008 decision in Stoneridge.
Whistleblower Provision a ‘Sleeper’ for Public Cos., SEC
Whistleblower provision in Dodd bill will pose major challenges for companies and SEC.
Live from ‘Compliance Week 2010′–Day 2
Securities Docket editor Bruce Carton reports in here from Day 2 of the CW 2010.
CNBC Video: Sen. Dodd Unveils Financial Regulation Reform Bill
Sen. Dodd announces his new bill on Capitol Hill.
Dissecting the Investor Protection Act
If passed by the Senate, key provisions in the Investor Protection Act will shake up SEC enforcement and operations.
Canada: Legislation Proposes Two-Year Minimum Sentences for White Collar Fraud
Bill sets forth minimum sentences and aggravating factors for longer sentences.
Sen. Specter Introduces Legislation Allowing Lawsuits Against Secondary Actors Providing “Substantial Assistance” to Fraud
U.S. Senator Arlen Specter has introduced legislation that would allow investors to sue secondary actors such as law firms, accountants and investment banks that provide “substantial assistance” in a fraud. Bloomberg reports that the Specter legislation would undercut the Supreme Court’s rulings in Stoneridge Investment Partners LLC v. Scientific-Atlanta Inc. and Central Bank of Denver [...]