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SEC.gov | Ongoing Regulatory Reform in the Global Capital Markets


I am very pleased to be here today. ... Before moving on to the Volcker Rule, I'd like to take a moment to say a few words about that unique regulatory body ... or her vote counts no more than that of any other member of the commission or board ...

Letter from SEC Commissioner Daniel M. Gallagher re: Public ...


May 15, 2014 ... management industry for the past 75 years- I have no statutory .... FSOC voted unanimously to propose for public comment "Proposed .... I am sure that its myriad inaccuracies and unsupported conclusions would .... markets liquidity that will inevitably stem from the highly flawed Volcker Rule and the.

Paul S. Atkins - Testimony - 9 July 2015 HFSC Hearing


Jul 9, 2015 ... I am Paul Atkins, CEO of Patomak Global Partners. ... Volcker Rule and the impact on bond market liquidity, (4) the lack of .... The voting insurance expert, Roy Woodall, slammed the FSOC's ... there is no way that the FSB would be doing any of this ... Then-SEC Commissioners Kathleen Casey and Troy.

sec - Bloomberg


Jul 21, 2014 ... Commissioner Kara M. Stein, who had recently moved to the SEC after a ... She let it be known she might vote against it, bottling up the rule and ... Then came the debate over the Volcker Rule, a Dodd-Frank ... “That is because, I am told, Congress failed to clearly provide adequate authority to do the job.

Volcker Rule Challenges Wall Street - WSJ


Dec 10, 2013 ... All five of the necessary regulators voted to approve the long-delayed Volcker rule Tuesday as federal regulators moved to bar banks from ...

SEC Bickering Stalls Mary Jo White's Agenda - WSJ


Jun 3, 2015 ... ... loan-level data; Volcker: Prohibition on banks making risky bets with own money ... “I am disappointed that you have not been the strong leader that many ... had no voice in choosing the panelists, commissioners were each allowed to ... Later that week, Mr. Piwowar, who also voted against the BlackRock ...

The Dodd-Frank Act: a cheat sheet - Morrison & Foerster LLP


compensation practices, incorporate the Volcker Rule, require registration of advisers ... Voting members consist of heads of ... commissioner, a state banking .... effected by the Dodd-Frank Act, the SEC recently ... No hedging or transfer of risk.

Big banks' stunning setback: Meet two officials saying no to Bank of ...


Oct 28, 2014 ... The two were able to change SEC policies on waivers, forcing signoff by the ... So without her vote, the commission is deadlocked at 2-2, ...

Investment Management Regulatory Update - Davis Polk & Wardwell


Mar 26, 2015 ... Interagency Volcker Rule FAQ Addresses Scope of U.S. Marketing Restrictions under SOTUS ... IM Guidance Update regarding Gifts and Entertainment ... Commission (the “SEC”) issued a No-Action Letter to the American Retirement ..... repeated his public stance of conditioning his vote on enforcement ...

Securities and Exchange Commission (SEC) - latest developments


The SEC is also proposing amendments to existing Securities Act rules to ... The SEC's Division of Corporation Finance has published Staff Legal Bulletin No. ... Company Act of 1956 (“BHC Act”), commonly referred to as the “Volcker Rule. ... in calculating this pay ratio, and helps inform shareholders when voting on “say on .....

Helpful Resources

Why I'm voting no to Volcker: SEC Commissioner - CNBC.com


Dec 9, 2013 ... Here's why SEC commissioner Michael Piwowar plans to vote against the Volcker Rule.

Why I'm voting for Volcker Rule: CFTC's Chilton


Dec 10, 2013 ... The Volcker Rule could have unforeseen consequences, but it's needed to ... ( Read more: Why I'm voting no to Volcker: SEC commissioner).

Dissenting Statement Regarding Adoption of Rule Implementing the ...


Dec 9, 2013 ... Therefore, I am not able to support the adoption of the rule. ... [2] The Volcker Rule adopted today is not based on data sufficient to meet this standard. ... (2) the definition of a baseline against which to measure the likely economic ... date of the vote, I still had not received the proposed voting draft of the rule...

SEC.gov | Dissenting Statement Regarding Adoption of Rule ...


Dec 10, 2013 ... Dissenting Statement of Commissioner Daniel M. Gallagher Twenty-one ... In many of these areas, including Volcker, missing the mark could have ... In contradiction of our procedural rules for voting on major rule .... The Commission's rules-based regulatory regime, however, contains no such wiggle room.

SEC.gov | Remarks at AEI Conference on Financial Stability


Jul 15, 2014 ... [3] I am wholly supportive of his bill, and I thank the Congressman for ... In addition to the Fed Chairman, Fed Governor Daniel Tarullo and the ... “alpha dog ” of regulators working on the Volcker Rule at a recent Congressional hearing. ... member with insurance expertise”[21] voted against the designation of ...