Search Results for: dodd frank

Treatise Update: Corporate Whistleblowing in the Sarbanes-Oxley/Dodd-Frank Era (Second Edition)

Corporate Whistleblowing in the Sarbanes-Oxley/Dodd-Frank Era (Second Edition)dives into the federal and state regulations and agency rules addressing whistleblowers and international investigations. It provides practical advice on minimizing the risk and damage of whistleblower complaints against employers and conducting effective internal investigations. Practitioners and business professionals dealing with SOX Act and Dodd-Frank whistleblower actions will […]

Free One-Hour Briefing on State Enforcement in the Financial Services Sector: The Emergence of a Federal Law Enforcement Tool Empowering State Authorities Under Dodd-Frank

September 17, 2014, 1:00 p.m. – 2:00 p.m. (E.D.T.) Not only did The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 revamp the federal consumer protection regime by establishing the Consumer Financial Protection Bureau into which the Act moved enforcement authority over a number of federal consumer protection statutes but, concurrently, Dodd-Frank expanded […]

Dodd-Frank Research: Program Now Available

PLI and LLAGNY teamed up to offer a free one-hour audio briefing to librarians, researchers, attorneys, and allied professionals: Where in the World is Dodd-Frank? A Guide for Researchers.  Thank you to everyone who attended. For anyone who missed it, the program was recorded and is available on the PLI website here. Where in the […]

Free One-Hour Briefing on Dodd-Frank Research

PLI and LLAGNY have teamed up to offer a free one-hour audio briefing to librarians, researchers, attorneys, and allied professionals.  The program is entitled Where in the World is Dodd-Frank? A Guide for Researchers. The session will cover: An overview of the Dodd-Frank Act & the best available tools for getting up to speed on […]

Dodd-Frank: new venture capital rules & rulemaking tracker

As part of the Dodd-Frank Act, many of the proposed rules have been written and are be available for public comment.  Most recently, the Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers was posted here.  Imagine my pleasant surprise to see two […]

Dodd-Frank Whistleblower Rules

The Bernie Madoff scandal shed light on the shortcomings of the SEC’s whistleblower policies.  Some have suggested that their whistleblower policy should more closely mirror the program of the IRS, which many find to be a successful tool in combating tax fraud.  The Dodd-Frank Act has provisions to enhance the SEC’s whistleblower protections.  It also […]

Keeping Up With Dodd-Frank

Since the Dodd-Frank Act was passed this summer, everyone is trying keep up with it.  Librarians and practitioners need to understand what the legislation means to their organization.  Here at PLI, our program attorneys have created a series of 1-hour briefings on the Dodd-Frank Act.  If you are looking for timely and up-to-date information you should check out these […]

New “Frank” Legislation

Last month I wrote about the new Dodd-Frank Act and how PLI is providing timely information about what this legislation means to your organization.  In today’s Washington Post article After mortgage meltdown, Barney Frank gets another chance to remake housing finance we get to see how this champion for affordable housing might be changing government policy.  […]

Book Update: Financial Services Regulation Deskbook

Financial Services Regulation Deskbook covers the significant changes to the regulation of financial services institutions by the Dodd-Frank Wall Street Reform and Consumer Protection Act and subsequent implementing regulations. This book provides analysis of and commentary on the legislation’s practical effects on industry practice, including identifying areas of legal ambiguity that must be solved only […]

Treatise Update: Financial Product Fundamentals: Law, Business, Compliance (Second Edition)

Financial Product Fundamentals: Law, Business, Compliance (Second Edition) is a comprehensive reference on the regulations, benefits, advantages, pricing, distribution, marketing, and current and future viability of registered offerings. It includes expert analysis of private placements, mutual funds, hedge funds, money market funds, exchange traded funds, real estate investment trusts, international investment funds, variable insurance products, […]