The Securities and Exchange Commission and the Commodity Futures Trading Commission have adopted rules that require most broker-dealers, mutual funds
The Commodity Futures Trading Commission has adopted its Final Rules to implement a whistleblower program mandated by the Dodd-Frank Act.
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.
Following the elections, Capital Hill is preparing for a significant shift.
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.
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.
Earlier this week the US Department of Treasury released its self-commissioned study, the “Blueprint for a Modernized Financial Regulatory Structure.”
As the Presidential primary elections continue, news outlets have been reporting the accuracy of prediction markets used to predict which candidates will win.