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273 results found

Article

Morgan Lewis | USA | 20 Jul 2016

FinCEN’s Beneficial Ownership FAQs Miss the Boat on Private Investment Vehicles

On July 19, the Financial Crimes Enforcement Network (FinCEN), a bureau within the US Department of the Treasury responsible for the Bank Secrecy Act

Article

Dechert LLP | USA | 23 Apr 2013

SEC and CFTC issue identity theft red flags rules applicable to financial institutions and creditors

The SEC and CFTC recently issued joint Identity Theft Red Flags Rules (the "Rules"), which are rules and guidelines requiring certain financial

Article

Foley & Lardner LLP | USA | 31 Jul 2012

A compilation of enforcement and non-enforcement actions

As reported previously in our Legal News: Investment Management Update newsletters, there have been several proposals to enhance regulation of registered investment advisers.

Article

Katten Muchin Rosenman LLP | USA | 9 Mar 2012

SEC and CFTC propose rules on identity theft detection and prevention

On February 28, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly issued proposed rules and guidelines intended to help protect investors from identity theft by ensuring that certain SEC- and CFTC-regulated entities create programs to detect and respond to identity theft red flags.

Article

Morgan Lewis | USA | 20 Oct 2011

FSOC proposes rules for Board of Governors of the Federal Reserve System’s supervision of nonbank financial companies

On October 11, the Financial Stability Oversight Council (the Council) released a second notice of proposed rulemaking and proposed interpretive guidance for determining whether a nonbank financial company would be subject to the Board of Governors of the Federal Reserve System’s (the Board of Governors’) enhanced supervision and regulation.

Article

Morgan Lewis | USA | 8 Jun 2011

Time running out on retail currency business for SEC-registered broker-dealers

As things currently stand, on July 16, when the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act) becomes effective, Securities and Exchange Commission (SEC) registered broker-dealers (BDs) will no longer be able to enter into many types of foreign currency transactions for their retail customers.

Article

Stoel Rives LLP | USA | 9 Feb 2011

In case you missed it - interesting items for corporate counsel (cumulative)

The SEC adopted final say-on-pay rules.

Article

Pepper Hamilton LLP | USA | 23 Dec 2010

SEC defines ‘municipal advisor’ under Dodd-Frank Act; MSRB registration deadline of December 31, 2010 looms

On December 20, 2010, the Securities and Exchange Commission (SEC) issued a 231-page package of proposed rules and forms defining who must register as a "municipal advisor" under the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Article

Pepper Hamilton LLP | USA | 16 Sep 2010

The effect of the Dodd-Frank Wall Street Reform and Consumer Protection Act on municipal securities law

Signed into law by President Obama on July 21, 2010, the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act, or the Act) is the most sweeping change to financial regulation in the United States since the Great Depression.

Article

Morgan Lewis | USA | 1 Sep 2010

CFTC issues final retail forex rules

On August 30, the Commodity Futures Trading Commission (CFTC) announced the issuance of its longanticipated final rules for off-exchange foreign currency transactions (forex) with retail customers.

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