Tag Archives: Dodd-Frank

SEC as Beat Cop, Enforcing “Our Federal Securities Laws, Big and Small…”

Cop on beat

We recently wrote about some new enforcement principals and strategies of the U.S. Securities and Exchange Commission. But it may have escaped notice that the SEC is apparently not going to focus on potentially significant violations in terms of size … Continue reading →

The Government is Closed – What That Means for the SEC

Gone fishing (rust)

The impact of the government shutdown on investigations and litigation involving corporate defendants and their executives will be particularly hard felt in certain areas. Continue reading →

5 Financial News Stories You May Have Missed: Ben Fed Up

5 Financial News Stories

Here are news stories from the week that were easy to miss, but may have some lasting impact. Continue reading →

The SEC’s 2nd Whistleblower Bounty Comes from a Surprising Source

Reward

Perhaps concerned that 15% of zero is still zero, the U.S. Securities and Exchange Commission (SEC) recently announced that the second payout under its whistleblower reward program would actually come from recoveries first made by the Department of Justice in … Continue reading →

Who You Whistling At? Internal Whistleblowing Also Protected—Just not Under Dodd-Frank

Home Bloggers Categories About Us Contact Us Who You Whistling At? Internal Whistleblowing Also Protected—Just not Under Dodd-Frank

The United States District Court for the Southern District of New York recently took a surprising view on what would seem like a simple matter: An employee alleges wrongful dismissal, in violation of the whistleblower protection provisions of the Dodd-Frank … Continue reading →

5 Financial News Stories You May Have Missed: TBTF, ISDA, AP and More

5 Financial News Stories

Here are news stories from the week that were easy to miss, but may have some lasting impact. Continue reading →

5 Financial News Stories You May Have Missed: The Other Shoe

5 Financial News Stories

This week: FDIC takes action, legal insider trading, Germany and the Volcker Rule, Norges Bank Investment Management, and waiting for other mortgage shoe to drop, Continue reading →

5 Financial News Stories You May Have Missed: Taking Credit

5 Financial News Stories

This week: S&P, MaryJo White, Dodd-Frank, and The Revenge of the College Graduates Continue reading →

Banks Daring to Defy Dodd-Frank Mandates (You Can’t Make Me!)

Defying Dodd-Frank

One of the perhaps laudable goals of the U.S. Wall Street Reform and Consumer Protection Act (aka Dodd-Frank), generally supported by global regulators, has been to create a more robust regulatory framework for largely unregulated transactions, including swaps and derivatives, … Continue reading →

What SEC Restructuring Means for Enforcement

Seal from SEC Building

In 2011, the SEC completed the most significant restructuring since its establishment roughly 40 years ago, and, if it must say so, had “A Record Performance” in enforcement. As these changes will continue in 2012 and potentially have a meaningful impact on global organizations, we thought it time to take a look at some of the key developments. Continue reading →