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Results: 11-20 of 2,309

Investment services regulatory update
  • Vedder Price PC
  • USA
  • July 1 2015

On June 26, 2015, the staff of the Division of Investment Management of the SEC issued a Guidance Update addressing the staff’s views on the


The battle lines continue to form over the DOL’s fiduciary proposal
  • Proskauer Rose LLP
  • USA
  • June 19 2015

Earlier this month, the Securities Industry and Financial Markets Association ("SIFMA") released its "Proposed Best Interests of the Customer


Online health care, consumer data, cybersecurity risks, accounting fraud, patents Expect Focus Vol. II, Spring 2015
  • Carlton Fields Jorden Burt
  • Global, USA
  • June 17 2015

Large-scale data breaches have become increasingly common, bringing with them not only bad press and loss of customer goodwill


SEC extends Rule 482 relief to non-ERISA retirement plans
  • Carlton Fields Jorden Burt
  • USA
  • June 15 2015

The SEC staff issued a no-action letter on February 18 that is important for many participant-directed individual account retirement plans (including


Regulators compose new music for broker-dealers and investment advisers
  • Carlton Fields Jorden Burt
  • USA
  • June 15 2015

Federal regulators finally seem to be sharpening their pencils to achieve greater harmony between broker-dealer (BD) regulation and investment


FINRA CEO criticizes DOL fiduciary proposal (again)
  • Proskauer Rose LLP
  • USA
  • June 5 2015

Last week, Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority ("FINRA"), doubled-down on his recent criticism of the U


FINRA supports the SEC's uniform fiduciary standard over the DOL's approach, but the debate is far from over
  • Bressler, Amery & Ross PC
  • USA
  • May 28 2015

Establishing a fiduciary standard for investment professionals has been a topic of debate among regulators, politicians, industry insiders and the


SEC approves proposed rules for executive compensation
  • Burr & Forman LLP
  • USA
  • May 20 2015

On April 29, 2015, the Securities and Exchange Commission (SEC) narrowly approved proposed rules requiring certain reporting companies to disclose


New executive compensation disclosure rules proposed by SEC: pay vs. performance
  • Barnes & Thornburg LLP
  • USA
  • May 14 2015

On April 29, the Securities and Exchange Commission (SEC) proposed new rules to require public companies to disclose in their annual proxy statements


FINRA Chairman: SEC should lead on uniform fiduciary standard
  • Proskauer Rose LLP
  • USA
  • May 8 2015

On May 1, 2015, Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority ("FINRA"), reaffirmed his support for a uniform