Jill Radloff

Jill Radloff

Stinson Leonard Street

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Dodd-Frank Whistleblower Protections Do Not Apply to Banking Laws

The United States District Court for the Eastern District of Wisconsin refused to allow a plaintiff to amend his complaint where the plaintiff claimed he was terminated because he complained internally and to the FTC and the...more

6/18/2014 - Dodd-Frank FDIC FTC Whistleblower Protection Policies Whistleblowers

Congress and Industry Want Resource Extraction Rules Finalized

In 2013 the United States District Court for the District of Columbia vacated the SEC resource extraction disclosure rules that were mandated by Section 1504 of the Dodd-Frank Act. Fifty-eight Democratic lawmakers have...more

6/16/2014 - Disclosure Requirements Dodd-Frank Natural Gas Natural Resources Oil & Gas Resource Extraction Rulemaking Process SEC Section 1504

Dodd-Frank Whistleblower Claims Subject To Arbitration, Key Distinctions Between Dodd-Frank And Sarbanes-Oxley Whistleblower...

Two recent U.S. District Court decisions hold that whistleblower claims under the Dodd-Frank Act are subject to arbitration under an appropriate pre-dispute arbitration agreement. In addition, the first of these decisions...more

5/1/2014 - Arbitration Dodd-Frank Sarbanes-Oxley Whistleblowers

SEC Exam Priorities Include Newly Registered Hedge Fund And Private Equity Advisors

The SEC has announced its examination priorities for 2014, which cover a wide range of issues at financial institutions, including investment advisers and investment companies, broker-dealers, clearing agencies, exchanges and...more

1/13/2014 - Compliance Dodd-Frank Hedge Funds Private Equity SEC

CFPB Issues Report To Congress

The CFPB has issued a report pursuant to Section 1017(e)(4) of the Dodd-Frank Act to the Committees on Appropriations of the United States Senate and House of Representatives. The report covers the time period from August 1,...more

1/6/2014 - CFPB Dodd-Frank

Summary Of Proposed Amendments To Regulation A

On December 18, 2013, the SEC published its proposal to modify Regulation A. The SEC is proposing to expand Regulation A into two tiers: Tier 1, for offerings of up to $5 million; and Tier 2, for offerings of up to $50...more

12/31/2013 - Debt Securities Dodd-Frank Eligibility Equity Securities Exemptions Offerings Private Equity Private Offerings Regulation A Reporting Requirements SEC Startups

Court Finds Dodd-Frank Does Not Apply To Foreign Whistleblowers

The United States District Court for the Southern District of New York recently dismissed a case with prejudice by an employee whistleblower that lived in Taiwan. The court stated there is no evidence that Congress intended...more

10/28/2013 - Anti-Retaliation Provisions Dodd-Frank Foreign Nationals Retaliation Whistleblowers

SEC Staff Report Relating To The Use Of Data Collected From Form PF

The Dodd-Frank Act provided the SEC with new authority, and directed it to use this authority to require registered investment advisers to maintain records and file reports regarding the hedge funds, private equity funds and...more

8/2/2013 - Data Collection Dodd-Frank Form PF Hedge Funds Investment Adviser IOSCO Private Equity Private Investment Funds SEC

GAO Completes Report On Accredited Investor Standard

GAO has completed a report mandated by the Dodd-Frank Act on the accredited investor standard. ...more

7/29/2013 - Accredited Investors Dodd-Frank GAO SEC

Court Dismisses Another Say-On-Pay Disclosure Case

The District Court for the Northeastern District of Illinois recently granted a Rule 12(b)(6) motion to dismiss an action styled Noble v. AAR Corp. The plaintiff alleged that the company failed to provide adequate...more

4/9/2013 - Disclosure Requirements Dodd-Frank Federal Rule 12(b)(6) Regulation S-K Say-on-Pay Symantec

SEC Commissioner Gives Speech On Proxy Disclosure

SEC Commissioner Luis A. Aguilar recently gave a speech setting forth his views on proxy disclosure. Some of the more interesting points were...more

3/1/2013 - Board of Directors Compensation Committee Disclosure Requirements Diversity Dodd-Frank Proxy Statements Proxy Summaries Risk Management SEC

Hedge Funds And Private Equity Groups On SEC Examination Priority List

The Office of Compliance Inspections and Examinations, or OCIE, administers the SEC’s nationwide examination and inspection program. The National Examination Program, or NEP, has published its examination priorities to...more

2/25/2013 - AIFMD Asset Management Conflicts of Interest Dodd-Frank ETFs Hedge Funds Investment Adviser OCIE Portfolio Managers Private Equity Private Equity Funds SEC Sec Examination Priorities

Changes To D&O Questionnaires To Implement NYSE And Nasdaq Compensation Committee Independence Rules

Both the NYSE and Nasdaq stock exchanges are requiring most issuers to have independent compensation committees by the earlier of their first annual meeting after January 14, 2014, or October 14, 2014. ...more

2/4/2013 - Compensation Committee Directors Dodd-Frank Independence Rules Nasdaq NYSE Officers Questionnaires

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