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Results:1-10 of 85

Key investor protection position takes back seat at SEC
  • Jorden Burt LLP
  • USA
  • June 4 2012

The Chairman of the SEC has not yet complied with an important Dodd-Frank Act mandate to appoint an “investor advocate.”


Regulators warn about structured notes with principal protection
  • Jorden Burt LLP
  • USA
  • August 18 2011

In June, FINRA and the SEC Office of Investor Education and Advocacy jointly issued an Investor Alert entitled Structured Notes with Principal Protection: Note the Terms of Your Investment.


SEC breaks silence on indexed products
  • Jorden Burt LLP
  • USA
  • August 18 2011

The SEC’s Office of Investor Education and Advocacy has placed on its website an Investor Bulletin providing information on features of indexed annuities.


Persons with compliance responsibilities may blow Dodd-Frank whistle
  • Jorden Burt LLP
  • USA
  • August 18 2011

The SEC recently adopted detailed rules implementing the Dodd-Frank Act’s program of hefty bounty awards for whistleblowers who provide the agency with original information about securities law violations resulting in sanctions in excess of $1 million.


Arbitration with some plaintiffs but not others denied due to risk of conflicting rulings
  • Jorden Burt LLP
  • USA
  • June 27 2011

In an action brought by twenty-three investors against a brokerage related to investment fraud by the broker, a California appellate court rejected the brokerage’s attempt to arbitrate with the twelve investors with whom the brokerage had signed client agreements and stay the court action as to the remaining investors


Seeds of an SRO for independent investment advisers
  • Jorden Burt LLP
  • USA
  • May 17 2011

Some enterprising law students at the University of Mississippi School of Law are launching a Self Regulatory Organization for Independent Investment Advisers (SROIIA).


California courts take a hard look at STOLI transactions
  • Jorden Burt LLP
  • USA
  • March 30 2011

The Central District of California decided two cases only a few weeks apart that clarify the law applicable to STOLI transactions in California.


GAO makes limited recommendations for financial planners
  • Jorden Burt LLP
  • USA
  • March 30 2011

In January 2011, the Government Accountability Office (GAO) released a report concerning regulation of financial planners.


Broker-dealer retail disclosure proposal faces industry resistance
  • Jorden Burt LLP
  • USA
  • March 30 2011

In response to Regulatory Notice 10-54, FINRA received over 300 comment letters regarding its concept proposal to require broker-dealers to provide a disclosure statement to retail investors at or before the commencement of a business relationship.


Dodd-Frank Act implementation
  • Jorden Burt LLP
  • USA
  • February 28 2011

The implementation of the Dodd-Frank Act ("DFA") has continued in several areas of interest to those in the insurance sector.