The Dodd-Frank Wall Street Reform and Consumer Protection Act is a United States federal statute signed into law on July 21, 2010. The Act was passed in response to the Great Recession of the late 2000s and... more +
The Dodd-Frank Wall Street Reform and Consumer Protection Act is a United States federal statute signed into law on July 21, 2010. The Act was passed in response to the Great Recession of the late 2000s and includes broad reforms related to many aspects of the financial and banking industry. Notable sections of the Act include stricter regulations of the derivatives market, as well as the Volcker Rule, which restricts the trading practices of FDIC-insured institutions.
S&C's Cohen: Brown-Vitter Punishes Banks For Being Big
Raj Mahajan, Allston Trading CEO, Talks HFT and the Business of Prop Trading
Konczal: Dodd-Frank Reforms Get Roughed Up in Court
An Update on SEF, IDB and Swap Regulation from Chris Ferreri of ICAP
Jill Sommers Reflects on the CFTC, Dodd-Frank, and Her Future
A New World for Mortgage Banking – What You Need to Know About the CFPB’s Final Mortgage Servicing Rules
Regulation 2013: Dodd-Frank Position Limits, CFTC Reuthorization, Regulatory Harmonization
Customer Protection Fund: Building a Better Piggy Bank
The New SEC Conflict Minerals Rule: Overcoming the Challenges of Compliance
First SEC whistleblower award-6 lessons learned
Former SEC Chairman David Ruder Discusses the Dodd-Frank Timeline, Volcker Rule & Cost Benefit Rules (Part 2 of 2)
Rodge Cohen: Dodd-Frank Fixes "Too Big To Fail"
Cole-Frieman & Mallon partner/co-founder Bart Mallon Discusses CFTC Regulation 4.5, the Volcker Rule & Other Compliance Issues
Derivatives Attorney Jim Falvey Discusses the MF Global bankruptcy, the Volcker Rule & Compliance Issues Related to Dodd-Frank
Introduction: High Pressure Regulatory Environment - Now more than ever, there is increased regulatory pressure on organizations – and their Boards of Directors – to create and maintain effective ethics and compliance...more
Since the 2010 enactment of the Dodd–Frank Wall Street Reform and Consumer Protection Act, a recurring question in judicial opinions interpreting the Act’s whistleblower provisions has been whether these provisions should be...more
For several months, the Consumer Financial Protection Bureau (“CFPB” or “Bureau”) has implemented a spate of enforcement actions against banks and non-banks. My interest in this article is neither to re-litigate those cases...more
The U.S. District Court for the District of Colorado followed a trend of decisions concluding that a plaintiff need not have provided the SEC with information regarding alleged federal securities law violations to pursue a...more
Challenge: In America, internal investigations into suspicions and allegations of employee misconduct follow an increasingly well-defined approach. But exporting US investigatory best practices raises unexpected...more
In This Issue: - Whistleblower protections and in-House Counsel - Sarbanes-oxley - The Dodd-Frank Act - The False Claims Act - Common Law Wrongful Discharge Claims - The Ethical...more
In This Issue: - Recent Cases ..CFTC Jurisdiction Under the Commodity Exchange Act ..Dodd-Frank Amendment to the TILA ..Preemption ..Say-On-Pay Voting ..Pre-Dispute Arbitration Agreements ...more
Originally published in Law360 on December 18, 2012. Without a doubt, the advent of the U.S. Securities and Exchange Commission’s whistleblower bounty program prompted a drastic increase in the number of individuals...more
The U.S. Securities and Exchange Commission held its annual SEC Speaks program in Washington, D.C. on February 22-23, 2013. In the postfinancial crisis, post-Dodd-Frank world, it is clear that the Commission and its staff are...more
The annual “SEC Speaks” conference, in which Securities and Exchange Commission (SEC) representatives review the agency’s efforts over the past year and preview the year to come, was held on February 22-23, 2013. A...more
As almost everyone knows, Lance Armstrong spoke for the first time about his performance enhancing drug (PED) use recently on Oprah. On the first night he admitted for the first time that he used PEDs during his seven wins at...more
OSHA recently released statistics (aggregated by BNA) showing dramatic increases in both the number of whistleblower cases filed with OSHA last year as well as the number of OSHA determinations....more
In This Issue: - RECENT CASES . Dodd-Frank Challenges Under the Administrative Procedure Act and Commodity Exchange Act . Preemption . Whistleblower Protection Under the Dodd-Frank Act . Arbitration...more
The U.S. District Court for the District of North Carolina recently dismissed a plaintiff’s Sarbanes-Oxley whistleblower complaint on the ground that the plaintiff had not alleged shareholder fraud....more
In keeping with “tradition” (even if it is a one-year tradition), I like to start out the year looking back on the person of the year in 2012. As we look through the developments of 2012, there is no question of the...more
EDITOR’S NOTE - Recent reports from the Department of Justice that it collected a record $4.9 billion under the False Claims Act in fiscal year 2012 only underscore what we’ve been seeing in our practice and elsewhere in...more
The Securities and Exchange Commission’s Annual Report on the Dodd-Frank Whistleblower Program, released November 2012, provides the first complete year of data on the activities of the Office of the Whistleblower (“OWB”)...more
In a recent interview with The American Lawyer, Sean McKessey, Chief of the SEC’s Office of the Whistleblower since February 2011, cautioned employers about dissuading potential whistleblowers from complaining to the SEC....more
I. Introduction On November 15, 2012, the Securities and Exchange Commission ("SEC" or "the Commission") issued its Second Annual Report on the Dodd-Frank Whistleblower Program ("the Report"), covering the period...more
On November 15, the Securities and Exchange Commission released its Annual Report on the Dodd-Frank Whistleblower Program (DFWP), which is required by the Dodd-Frank Wall Street Reform and Consumer Protection Act....more
In This Issue: - The 100 Most Influential People In the Boardroom - Social Media & The Boardroom: Critical Questions Directors Need To Ask - Michael Volkov on Whistleblowers - What's Next? The Top Issues of...more
California Ranked No. 1! The staff at the Securities and Exchange Commission recently released the 2012 Annual Report on the Dodd-Frank Whistleblower Program. It turns out that California leads the other states in...more
In its Annual Report on the Dodd-Frank Whistleblower Program (Report), the SEC has revealed that it has received 3,001 tips during its 2012 fiscal year (the first year of this program), and it paid out its first award to a...more
It has taken a long time but the status of whistleblowers has reached an all time high. Whistleblowers can expect even more encouragement and protections in the future. ...more
On November 15, 2012, the Securities and Exchange Commission (“SEC” or the “Commission”) released its Annual Report on the Dodd-Frank Whistleblower Program (the “Report”). The Report – which was prepared by the Commission’s...more
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