Showing posts with label DODD-FRANK ACT. Show all posts
Showing posts with label DODD-FRANK ACT. Show all posts
Thursday, April 30, 2015

EXEC PAY AND FINANCIAL PERFORMANCE: SEC PROPOSES DISCLOSURE REQUIREMENT

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION SEC Proposes Rules to Require Companies to Disclose the Relationship Between Executive Pay a...
Thursday, April 2, 2015

SEC FILES ENFORCEMENT ACTION AGAINST COMPANY FOR USING CONFIDENTIALITY AGREEMENTS IN VIOLATION OW WHISTLEBLOWER PROTECTION RULE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION 04/01/2015 10:45 AM EDT The Securities and Exchange Commission today announced its first e...
Thursday, January 22, 2015

CFTC APPROVES TOKYO COMMODITY EXCHANGE, INC. REGISTRATION AS FBOT

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION   Statement of CFTC Commissioner Mark Wetjen on CFTC Approval of TOCOM as an FBOT Januar...
Friday, December 26, 2014

SEC ISSUES ANNUAL STAFF REPORT REGARDING NRSROs

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  12/23/2014 05:15 PM EST The Securities and Exchange Commission issued its annual staff re...
Monday, April 7, 2014

SEC'S FIRST WHISTLEBLOWER UNDER NEW PROGRAM TO RECEIVE ADDITIONAL $150,000 PAYOUT

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FROM:  SECURITIES AND EXCHANGE COMMISSION  4/04/2014 12:51 PM EDT The Securities and Exchange Commission today announced that the whistl...
Wednesday, March 19, 2014

FLORIDIAN FINED FOR MAKING FALSE AND MISLEADING STATEMENTS DURING CFTC INVESTIGATION

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FROM:  COMMODITY FUTURES TRADING COMMISSION  CFTC Orders Sean R. Stropp to Pay $250,000 Penalty to Settle Charges of Making False and Misle...
Friday, March 7, 2014

SEC COMMISSIONER PIWOWAR'S REMARKS ON INTERNATIONAL FINANCIAL REGULATIONS

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FROM:  SECURITIES AND EXCHANGE COMMISSION  Remarks at AIMA Global Policy & Regulatory Forum  Commissioner Michael S. Piwowar New York...
Friday, February 21, 2014

SEC STATEMENT ON WHISTLEBLOWER COURT FILING

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FROM:  SECURITIES AND EXCHANGE COMMISSION Statement on Court Filing by SEC to Protect Whistleblowers From Retaliation  Sean McKessy Chief...
Friday, January 17, 2014

CFTC OFFICIAL'S TESTIMONY REGARDING FUTURES MARKET OVERSIGHT

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FROM:  COMMODITY FUTURES TRADING COMMISSION  Testimony of Vincent McGonagle, Director Division of Market Oversight, Commodity Futures Trad...
Monday, December 30, 2013

CFTC ISSUES ADVISORY REGARDING COMMODITY TRADING ADVISORS AND SWAPS

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FROM:  COMMODITY FUTURES TRADING COMMISSION  CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Advisory Concerning Commodity...
Monday, April 22, 2013

STATEMENT FROM FDIC OFFICIALS ON "TOO BIG TO FAIL" BANKS

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FROM: FEDERAL DEPOSIT INSURANCE CORPORATION Statement of Federal Deposit Insurance Corporation by James R. Wigand, Director, Office Of C...
Sunday, January 20, 2013

U.S. GOVERNMENT ISSUES FINAL RULE ON APPRAISALS FOR HIGH-PRICE MORTGAGE LOANS

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FROM: FEDERAL DEPOSIT INSURANCE CORPORATION Agencies Issue Final Rule on Appraisals for Higher-Priced Mortgage Loans WASHINGTON— Six fe...
Friday, June 8, 2012

CFTC ALLEGES MAN AND CO. RAN A $90 MILLION SILVER BULLION PONZI SCHEME

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FROM:  COMMODITY FUTURES TRADING COMMISSION CFTC Charges Ronnie Gene Wilson of South Carolina and His Company, Atlantic Bullion & Coin...
Thursday, June 7, 2012

DEPUTY SECRETARY OF THE TREASURY SPEAKS BERORE SENATE COMMITTEE ON WALL STREET REFORM

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FROM:  U.S. DEPARTMENT OF TREASURY Testimony by Deputy Secretary Neal Wolin before the Senate Committee on Banking, Housing, and Urban A...
Friday, June 1, 2012

CHAIRMAN CFTC COMMENTS ON PROPOSED VOLKER RULE TO CURB FINANCIAL RISKS

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FROM:  COMMODITY FUTURES TRADING COMMISSION Statement Regarding Public Roundtable to Discuss the Proposed Volcker Rule Chairman Gary Ge...