Latest Dodd-Frank Posts
SEC Orders Exchanges and FINRA to Submit Tick Size Pilot Program
Broker-Dealer, Public Companies and Securities The SEC has ordered registered securities exchanges and FINRA to submit a tick size pilot program within 60 days. The order specifies that the control group will be quoted at the current tick size increment, $0.01 per share, and trade at the increments currently permitted. The first test group would be quoted in $0.05 minimum […] Read more →
Integrated Private Equity Firms Charged With Failure to Register and Pay-to-Play Violations
Investment Advisers, Litigation, Private Equity The SEC charged two firms with failing to register as investment advisers because their operations were integrated (SEC orders are here and here) and charged one of the entities... Read more →
Fed to Bank Directors: Pay Attention
Banking Daniel K. Tarullo of the Board Of Governors of the Federal Reserve System delivered a speech on the intersection of corporate governance and prudential regulation. Some of the... Read more →
Dodd-Frank Whistleblower Protections Do Not Apply to Banking Laws
Banking, Employment, Litigation, Uncategorized 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... Read more →