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Results: 1-10 of 91

May 1, 2013: SEC and CFTC red flag rules become effective May 20, 2013

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • May 14 2013

The Securities and Exchange Commission and the Commodity Futures Trading Commission have adopted rules that require most broker-dealers, mutual funds

CFTC and SEC jointly adopt identity theft red flags rules

  • Herrick Feinstein LLP
  • -
  • USA
  • -
  • May 2 2013

On April 10, 2013, the CFTC and SEC jointly issued final rules under Section 615(e) of the Fair Credit Reporting Act (the "FCRA") which require

This week in securities litigation (week ending April 26, 2013)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • April 26 2013

George Canellos and Andrew Ceresney, two former colleagues in the Manhattan U.S. Attorney's Office, became the first Co-Directors of the SEC's

SEC and CFTC issue final joint rules on “red flags” compliance

  • Mintz Levin Cohn Ferris Glovsky and Popeo PC
  • -
  • USA
  • -
  • April 24 2013

The Securities Exchange Commission ("SEC") and the Commodity and Futures Trade Commission ("CFTC") (together, the "Commissions") have issued final

Financial services legislative and regulatory update - March 11, 2013

  • Mintz Levin Cohn Ferris Glovsky and Popeo PC
  • -
  • USA
  • -
  • March 11 2013

As the first full week of the Federal government’s sequestration comes to a close, the effects have been palpable. The Dow Jones closed just shy of

This week in securities litigation (week ending March 8, 2013)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • March 7 2013

In Congress this week, a bipartisan bill was introduced to roll back part of the Dodd-Frank legislation related to swaps. It would expanded the swaps

This week in securities litigation (week ending February 15, 2013)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • February 14 2013

SEC Chairman Elise Walter and CFTC Chairman Gary Gensler testified before a Senate Committee this week, focusing on the implementation of Dodd-Frank

International regulatory update 4 Feb-8 Feb 2013

  • Clifford Chance LLP
  • -
  • European Union, Germany, Global, Hong Kong, Singapore, United Kingdom, USA
  • -
  • February 11 2013

EMIR: European Parliament’s resolution to reject Delegated regulations withdrawn; MiFID review: EU Council Presidency publishes Compromise texts

Energy executives convicted of sending false reports to industry newsletters

  • Fox Rothschild LLP
  • -
  • USA
  • -
  • February 8 2013

Its not often I write about criminal cases but this is one that all executives in the commodities industry need to know about. In Brooks v. United

2012 year-end securities litigation and enforcement highlights

  • Baker & Hostetler LLP
  • -
  • USA
  • -
  • January 31 2013

On November 5, 2012, the Supreme Court heard oral argument in Amgen Inc. v. Connecticut Retirement Plans and Trust Funds, a Rule 10b-5 class action

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