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By Securities Docket on June 7, 2016, 10:48 am
The Republican chairman of the House Financial Services Committee plans to outline on Tuesday a legislative proposal that aims to dismantle significant portions of the Dodd-Frank financial regulatory overhaul. The plan, whose details will be released in full later this month, has little chance of passing Congress this year. But the proposal by Representative Jeb […]
By Securities Docket on August 5, 2015, 12:50 pm
In what was likely his last formal speech as an SEC commissioner, Commissioner Dan Gallagher invoked into his inner Stuart Smalley to take aim one last time at his favorite target, the Dodd-Frank Act. via Outgoing SEC Commissioner Gallagher Takes One Last Shot at Dodd-Frank | Compliance Week.
By Securities Docket on November 6, 2014, 1:21 pm
In his latest attack on the law he recently called “Dodd-Frankenstein,” SEC Commissioner Daniel S. Gallagher stated that the Dodd-Frank Act has left the Commission spending “much, if not most, of its time and resources for nearly half a decade shoveling manure, in some cases for no discernible purpose whatsoever.” via Gallagher: Dodd-Frank Has SEC […]
By Securities Docket on September 29, 2014, 9:59 am
Only the [Dodd-Frank] clawback provision remains an idea on paper but not one that has been put into practice. The provision requires SEC rulemaking. No rule proposal has yet to emerge, although the provision is on the SEC’s rulemaking agenda. via Waiting for Dodd-Frank Clawbacks — theRacetotheBottom
By Securities Docket on January 22, 2014, 9:55 am
H.R. 3547, the omnibus 2014 spending bill passed by Congress and signed into law by President Obama last week, contains more bad news for the SEC than just the meager 2% increase it provides for the SEC’s budget. A provision in the new law quietly strips away half of a $50,000,000 Reserve Fund that the […]
By Securities Docket on December 20, 2013, 12:11 pm
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By Securities Docket on November 13, 2013, 7:50 am
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By Securities Docket on October 24, 2013, 9:05 am
However, a recent decision in the Southern District of New York could put a damper on overseas whistleblowing. In an October 21, 2013 opinion, Judge William H. Pauley held that the Dodd-Frank Act’s whistleblower anti-retaliation provisions do not protect whistleblowers outside the U.S. Judge Pauley’s decision follows a June 2013 Southern District of Texas decision […]
By Securities Docket on August 8, 2013, 9:08 am
Question: When is a “whistleblower” not really a “whistleblower”? Answer: When an employee reports potential misconduct only to his or her employer and that employer happens to be located in the Fifth Circuit. via When Is A ‘Whistleblower’ Not Really A ‘Whistleblower’? – Forbes.