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On May 14, 2009, the U.S. Securities and Exchange Commission (SEC) held an open meeting (the Open Meeting) to determine whether to propose amendments to Rule 206(4)-2 (the Custody Rule) and related forms and rules (the Proposed Amendments) under the Investment Advisers Act of 1940 (the Advisers Act
On July 21, 2010, President Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Act), bringing to a close the national debate over the appropriate regulation of the financial markets that began with former Treasury Secretary Henry Paulson's white paper in March 2008
On April 7, 2011, FINRA filed a proposed rule change to delay implementation of its new suitability rule (Rule 2090, replacing NASD Rule 2310) and new "Know Your Customer" rule (Rule 2111, replacing NYSE Rule 405
On April 5, 2012, President Obama signed the Jumpstart Our Business Startups Act (the JOBS Act or the Act), which is intended to stimulate economic growth by helping smaller and emerging growth companies access the U.S. capital markets
