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Searching Content indexed under Dodd-Frank, Consumer Protection Act by Edward G. Eisert ordered by Published Date Descending.
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1
SEC Office Of Compliance Inspections And Examinations Issues Risk Alert On Whistleblower Rule Compliance
Staff in the Office of Compliance Inspections and Examinations issued a National Exam Program Risk Alert announcing that it is examining registered investment advisers and registered broker-dealers...
United States
9 Nov 2016
2
CFTC Announces Actions Addressing Application Of The Dodd-Frank Act To Cross-Border Transactions
On August 4, 2016, the U.S. Commodity Futures Trading Commission (CFTC) announced two separate actions relating to the application of the Dodd-Frank Act to cross-border transactions.
United States
19 Aug 2016
3
Federal District Court Rules Against Designation Of MetLife As A "SIFI" Under Dodd-Frank Act
The FSOC has designated just four non-banks as SIFIs, but MetLife was the only one to file a lawsuit protesting it.
United States
11 Apr 2016
4
SEC Issues Staff Report On Accredited Investor Definition
On December 18, the Securities and Exchange Commission issued a staff report (the "Report") on the definition of "accredited investor" set forth in Rule 501(a) of Regulation D under the Securities Act of 1933.
United States
31 Dec 2015
5
Federal Reserve Board Issues Final Rule Implementing Dodd-Frank Section 622
On November 5, the Federal Reserve Board issued a final rule implementing Section 622 of the Dodd-Frank Act, which generally prohibits a financial company from combining with another company if the ratio of the resulting company’s liabilities exceeds 10% of the aggregate consolidated liabilities of all financial companies.
United States
25 Nov 2014
6
Fed Issues Final Rule To Amend Regulation HH And Payment System Risk Policy
On October 28, the Federal Reserve Board issued a final rule that amends the Regulation HH risk-management standards
United States
10 Nov 2014
7
Agencies Release Economic Scenarios For 2015 Stress Testing
On October 23, regulators released the economic scenarios that will be used by financial institutions with total assets of over $10 billion for stress tests required under Dodd-Frank.
United States
31 Oct 2014
8
CFPB Reports Risky Practices In Newly Supervised Nonbank Markets
The CFPB issued a report highlighting illegal actions uncovered by its supervision of the nonbank payday, debt collection and consumer reporting markets.
United States
30 May 2014
9
Dodd-Frank Trade Execution Developments
In February 2014, certain categories of interest rate swaps and index credit default swaps became subject to the trade execution requirement under Dodd-Frank.
United States
26 Mar 2014
10
No-Action Relief Relating To The Inter-Affiliate Exemption Under Dodd-Frank
On March 6, 2014, the Commodity Futures Trading Commission issued two no-action letters relating to the April 2013 inter-affiliate exemption from the clearing requirement.
United States
26 Mar 2014
11
Financial Industry Week In Review - 03-10-2014
The Fed, the FDIC, and the OCC issued final guidance which describes supervisory expectations for stress tests to be conducted by financial companies.
United States
19 Mar 2014
12
Final Guidance For Medium-Sized Firms On Dodd-Frank Stress Tests
On March 5, the Fed, the FDIC, and the OCC issued final guidance which describes supervisory expectations for stress tests to be conducted by financial companies with between $10 and $50 billion in total assets.
United States
17 Mar 2014
13
Financial Industry Week In Review - February 3, 2014
On January 30, the CFPB issued a report highlighting mortgage servicing problems in 2013, including various violations of the Dodd-Frank Act's ban on unfair, abusive and deceptive acts.
United States
10 Feb 2014
14
CFPB Report On Mortgage Servicing
On January 30, the CFPB issued a report highlighting mortgage servicing problems in 2013, including various violations of the Dodd-Frank Act’s ban on unfair, abusive and deceptive acts.
United States
10 Feb 2014
15
Publication Of Resolution Plans
On January 10, the Fed and the FDIC made available public portions of resolution plans for 116 institutions which are regulated by the Fed and the FDIC and required to submit resolution plans by the Dodd-Frank Act.
United States
24 Jan 2014
16
CFTC Substituted Compliance Determinations and No-Action Letters
On December 20, 2013, the Commodity Futures Trading Commission approved substituted compliance in the European Union and five other jurisdictions for a range of "entity-level" and "transaction-level" requirements of Dodd-Frank.
United States
13 Jan 2014
17
SEC Removes References To NRSRO Ratings
On December 27, the SEC adopted amendments to eliminate references in certain of its rules and forms to credit ratings.
United States
8 Jan 2014
18
The Fed Issues Final Rule On Treatment Of Uninsured U.S. Branches And Agencies Of Foreign Banks Under Section 716 Of Dodd-Frank
On December 24, the Fed issued the final rule clarifying the treatment of uninsured U.S. branches and agencies of foreign banks under Section 716 of the Dodd-Frank Act.
United States
8 Jan 2014
19
FDIC Releases 2014 Stress Test Scenarios
On November 12, FDIC released the economic scenarios that will be used by financial institutions with total assets of more than $10 billion for stress tests required under the Dodd-Frank Act.
United States
25 Nov 2013
20
CFTC Staff Issues Advisory On Transaction-Level Requirements In Certain Cross-Border Situations
On November 14, CFTC issued advisory on the applicability of Dodd-Frank transaction-level requirements to swaps between non-U.S. swap dealers (whether or not an affiliate of a U.S. person) and non-U.S. persons.
United States
25 Nov 2013
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