Tags » Dodd-Frank Act

Conflict Minerals...the Legal Saga Continues...

Yesterday, the United States Court of Appeals for the District of Columbia issued its opinion on the conflict minerals legal challenge. (See our earlier blogs… 163 more words

Dodd-Frank Act

Collateralized loan obligations: Our next financial nightmare

Greed, stupidity, and slack government oversight fueled the mortgage bubble. The same thing seems to be happening today, but this time with leveraged loans and junk bonds. 1,404 more words

Term Sheet

Dodd-Frank May Cost Too Much For Small Fry

The halfway implementation of the Dodd-Frank Act has shaken up the banking industry and certainly ruffled its fair share of feathers in the hopes that keeping a tighter leash on banking and private equity giants will be worth the universal inconvenience. 285 more words


Conference Update: Initiatives for Sustainable Financial Regulation

University of St. Thomas Law Journal Spring Symposium

Beyond Crisis-Driven Regulation: Initiatives for Sustainable Financial Regulation

Friday, April 11, 2014, Minneapolis, MN

co-sponsored by the  429 more words

Dodd-Frank Act

Illinois Attorney General Enforcing Dodd-Frank

Section 1042 of the Dodd-Frank Act authorizes state attorneys general to bring lawsuits in the name of the state against state-licensed entities to enforce Dodd-Frank provisions. 258 more words


New Conflict Minerals FAQs

I know that many companies are working through their conflict minerals analysis and have begun preparing their initial Form SD which is due June 2nd.  I wanted to make companies aware that the SEC issued new FAQs today clarifying various issues related to conflict minerals due diligence and the conflict minerals report.  14 more words

SEC Rulemaking And Guidance

Have you been a “Bad Actor”? Maybe You Should Just Beg for Forgiveness.

Rule 506 under the Securities Act of 1933 is the most widely used exemption from the registration requirements of the Securities Act. The exemption is used by a wide range of issuers from small, start-up companies to the largest investment and hedge funds. 378 more words

Dodd-Frank Act