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Are You Prepared for Disruption? New regulations, new challenges and opportunities Expect Focus - Vol. II, July 2016
  • Carlton Fields
  • USA, Australia
  • July 31 2016

On June 3, the Federal Reserve Board (the “Fed”) released an advance notice of proposed rulemaking (ANPR) and began soliciting comments for the

CFPB director outlines bureau's core policy recommendations for youth financial education
  • Bricker & Eckler LLP
  • USA
  • May 30 2013

Tying the endurance of the nation's democratic system to the "effective operation of a free market economy," Consumer Financial Protection Bureau

FINRA rule amended: whistleblower claims not subject to mandatory arbitration
  • Proskauer Rose LLP
  • USA
  • November 26 2012

The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd Frank) amended the whistleblower provision in Section 806 of the Sarbanes-Oxley Act of 2002 (SOX) to state that pre-dispute arbitration agreements that require arbitration of a dispute arising under that section are invalid and unenforceable, and that Section 806 rights cannot be waived through a pre-dispute arbitration agreement or otherwise.

SEC and CFTC working on regulatory harmonization
  • Pepper Hamilton LLP
  • USA
  • November 8 2011

The Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act) required that the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly issue rules establishing the form and content of reports to be filed by private funds.

  • Winston & Strawn LLP
  • USA
  • October 31 2011

It's no secret that regulatory oversight is increasing everywhere in the financial services industry.

The quest to create a self-regulatory organization for investment advisers: ‘I say adviser; you say advisor ... let’s call the whole thing off’
  • Pepper Hamilton LLP
  • USA
  • October 18 2011

There has been much talk recently of creating a self-regulatory organization for investment advisers.

Regulation of forex in the wake of Dodd-Frank
  • Foley & Lardner LLP
  • USA
  • October 14 2011

In passing the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), Congress has attempted to close loopholes in connection with the regulation of retail foreign exchange (forex) transactions

SEC and SRO enforcement developments regarding broker-dealers
  • Morgan Lewis
  • USA
  • October 12 2011

The Morgan Lewis Securities Litigation and Enforcement Practice has published an outline highlighting recent key U.S. Securities and Exchange Commission (the SEC or the Commission) and Financial Industry Regulatory Authority (FINRA) enforcement developments and cases regarding broker-dealers.

Second Circuit holds that FINRA cannot use the courts to collect disciplinary fines
  • Fried Frank Harris Shriver & Jacobson LLP
  • USA
  • October 7 2011

October 5, 2011, in Fiero v. FINRA, No. 09-1556-cv (2d Cir. Oct. 5, 2011), the United States Court of Appeals for the Second Circuit held that FINRA and other self-regulatory organizations lack the authority to bring federal court actions to collect on their disciplinary fines.

SEC and MSRB withdraw municipal advisor proposals
  • Katten Muchin Rosenman LLP
  • USA
  • October 5 2011

The SEC and the Municipal Securities Rulemaking Board (MSRB) have withdrawn several proposals relating to municipal advisors.