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New York Times Reports that SEC Is Avoiding Tough Sanctions For Large Banks

The New York Times reports that even as the Securities and Exchange Commission has stepped up its investigations of Wall Street in the last decade, the agency has repeatedly allowed the biggest firms to avoid punishments specifically meant to apply to fraud cases.
Originally Published: 
Friday, February 3, 2012

What Do Shareholders Really Value? (Interview)

Can corporations' relentless focus on maximising shareholder wealth actually harm investors? UNSW's Professor Justin O'Brien talks to UCLA's Professor Lynn Stout about her ideas which challenge traditional views on corporate law and the shareholder.
Originally Published: 
Sunday, December 4, 2011

SEC Proposes Product Definitions for Swaps

As required by the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010, the Securities and Exchange Commission and Commodity Futures Trading Commission have jointly proposed rules further defining the terms “swap,” “security-based swap,” and “security-based swap agreement.”
Originally Published: 
Wednesday, April 27, 2011

US Regulatory Agencies Seek Public Comment on Risk Retention Proposal

In accordance with the risk-retention requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010, six federal agencies are seeking public comment on a proposed rule that would require sponsors of asset-backed securities to retain at least 5 percent of the credit risk of the a
Originally Published: 
Thursday, March 31, 2011

US Regulatory Agencies Seek Comment on Proposed Rule on Incentive Compensation

Pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010, federal financial regulatory agencies have requested public comment on a joint proposed rule to ensure that regulated financial institutions design their incentive compensation arrangements to take account of risk.
Originally Published: 
Wednesday, March 30, 2011

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