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761 results found

Article

Winston & Strawn LLP | USA, United Kingdom, European Union | 19 Nov 2018

Financial Services Update, Vol. 13, Issue 43

The topic of Brexit has been the subject of a high degree of anxiety within the financial services industry. In a potentially positive development, on

Article

Kilpatrick Townsend & Stockton LLP | USA | 11 May 2018

Truly RIA-Friendly Broker-Dealers on the Horizon?

FINRA recently proposed a rule (the “Proposed Rule”) addressing FINRA-registered broker-dealer’s (“Broker-Dealers”) responsibilities to supervise the

Article

DLA Piper | USA | 22 Jun 2017

The Financial Report, 22 June 2017, Discussion and Analysis

On June 8, the United States House of Representatives passed the Financial CHOICE (Creating Hope and Opportunity for Investors, Consumers and

Article

Cadwalader Wickersham & Taft LLP | USA | 12 Jun 2017

Financial CHOICE Act Would Complicate the Choices in Bringing and Defending Against SEC Cases

Legislation passed by the U.S. House of Representatives threatens to shake up the Securities and Exchange Commission’s enforcement program in a

Article

Sullivan & Cromwell LLP | USA | 9 Jun 2017

Financial CHOICE Act of 2017 - House Passes Financial Regulatory Reform Legislation

Late yesterday, the U.S. House of Representatives, voting almost entirely along party lines, passed H.R. 10, the "Financial CHOICE Act of 2017" (the

Article

Squire Patton Boggs | USA | 5 Jun 2017

House Set to Vote on CHOICE Act; Agency Nominations, Budgets, and Rulemakings Under Review

This week, the House is set to vote on H.R. 10, the Financial CHOICE Act of 2017 (CHOICE Act). After a contentious markup in the House Financial

Article

Buckley LLP | USA | 25 May 2017

House Democrats Seek Full Review of Financial CHOICE Act by Appropriate Committees; Investor Group Claims Act Will Undercut Shareholder Rights

As previously covered in InfoBytes, on May 4 the House Financial Services Committee approved the revised Financial CHOICE Act of 2017, H.R. 10, in a

Article

Buckley LLP | USA | 20 Apr 2017

Legislation Proposed to Create Consistent Financial Data Reporting Standards Across Federal Agencies

On March 16, Congressmen Darrell Issa (R-Calif.) and Jared Polis (D-Colo.) introduced the Financial Transparency Act of 2017 (H.R. 1530), a

Article

Squire Patton Boggs | USA | 3 Apr 2017

Financial Services Regulatory Reform Ramps Up

With the first 100 days of the Trump Administration largely behind them, financial services lawmakers are beginning to move forward with their review

Article

Hogan Lovells | USA | 6 Feb 2017

Trump Administration Moves on the Dodd-Frank Act

As predicted during the campaign and after his win in November, President Trump has set his sights on overhauling the financial regulatory system. On

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