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14 results found

Article

Porter Wright Morris & Arthur LLP | USA | 14 May 2013

May 1, 2013: SEC and CFTC red flag rules become effective May 20, 2013

The Securities and Exchange Commission and the Commodity Futures Trading Commission have adopted rules that require most broker-dealers, mutual funds

Article

Porter Wright Morris & Arthur LLP | USA | 17 Aug 2011

CFTC adopts whistleblower rules; attempts to "harmonize" with the SEC rules

The Commodity Futures Trading Commission has adopted its Final Rules to implement a whistleblower program mandated by the Dodd-Frank Act.

Article

Porter Wright Morris & Arthur LLP | USA | 5 Jan 2011

Dodd-Frank: too many regulations too fast?

The Dodd-Frank Act is considered by many to be the most significant piece of financial reform legislation since the securities laws were written in the 1930s.

Article

Porter Wright Morris & Arthur LLP | USA | 8 Nov 2010

This week in securities litigation (November 5, 2010)

Following the elections, Capital Hill is preparing for a significant shift.

Article

Porter Wright Morris & Arthur LLP | USA | 24 Aug 2010

Whistleblowing galore under the Dodd-Frank Act

Congress' recent passage and President Obama's signing of the "Dodd-Frank Wall Street Reform and Consumer Protection Act" provides significant incentives for financial industry whistleblowers to assist the government root out fraudulent practices and other unlawful conduct in the industry.

Article

Porter Wright Morris & Arthur LLP | USA | 25 Nov 2009

Gramm-Leach-Bliley Act compliance: model privacy notice form

Under the Gramm-Leach-Bliley Act ("GLB"), financial institutions are required to disclose their information-sharing practices to their customers and also to notify them of their right to opt out of certain practices.

Article

Porter Wright Morris & Arthur LLP | USA | 4 Apr 2008

Treasury blueprint suggests big changes for SEC

Earlier this week the US Department of Treasury released its self-commissioned study, the “Blueprint for a Modernized Financial Regulatory Structure.”

Article

Porter Wright Morris & Arthur LLP | USA | 1 Feb 2008

Prediction markets and securities laws

As the Presidential primary elections continue, news outlets have been reporting the accuracy of prediction markets used to predict which candidates will win.

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