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19 results found

Article

Hunton Andrews Kurth LLP | USA | 1 Sep 2011

Municipal bond offerings: MSRB propose rules of conduct for municipal advisors

In two recent filings with the Securities and Exchange Commission (“SEC”), the Municipal Securities Rulemaking Board (“MSRB”) proposed important new standards of conduct for municipal advisors under the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”).

Article

Manatt Phelps & Phillips LLP | USA | 10 Aug 2011

FDIC v. bank directors: where do we stand?

In a recent ruling, the federal court in Los Angeles found that directors of a failed credit union were not liable for acts alleged to be negligent because the actions of the directors were protected by the so-called business judgment rule.

Article

Stoel Rives LLP | USA | 27 Apr 2011

Alaska Supreme Court clarifies the business judgment rule for board members

On Friday, the Alaska Supreme Court decided Henrichs v. Chugach Alaska Corp., No. S-13094 (Apr. 22, 2011), in which it confirmed the vitality of the common law business judgment rule in Alaska.

Article

Winston & Strawn LLP | USA | 24 Feb 2011

Municipal Securities Rulemaking Board proposes new rules and interpretive guidance on municipal advisors and underwriters

The Municipal Securities Rulemaking Board ("MSRB") has proposed for comment a new rule, Rule G-36, concerning the fiduciary duty of municipal advisors and proposed interpretive guidance regarding the application of MSRB Rule G-17, which concerns "fair dealing," to municipal advisors and underwriters.

Article

Stinson LLP | USA | 17 Feb 2011

MSRB requests comments on a draft rule and interpretive notices for municipal advisors

The Municipal Securities Rule Making Board, or MSRB, is requesting comments on a draft rule and two interpretive notices applicable to municipal advisors.

Article

Whiteford Taylor & Preston LLP | USA | 10 Feb 2011

SEC releases staff study recommending a uniform fiduciary standard of conduct for broker-dealers and investment advisers

On January 22, 2011, the Securities and Exchange Commission released a staff study (the "Study")1 on the effectiveness of the existing standards required of broker-dealers and investment advisers providing personalized investment advice about securities to retail customers.

Article

Potter Anderson & Corroon LLP | USA | 2 Feb 2011

Expanded fiduciary rules proposed by the Department of Labor

The Department of Labor ("DOL") released a proposed rule that would expand the definition of a fiduciary under the Employee Retirement Income Security Act of 1974 ("ERISA").

Article

Fried Frank Harris Shriver & Jacobson LLP | USA | 31 Jan 2011

SEC releases study on the fiduciary duty of investment advisers and broker-dealers

On January 21, 2011, the Securities and Exchange Commission ("SEC") released the study (the "Fiduciary Study") of its staff mandated by Section 913 of Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the "Dodd-Frank Act").

Article

Jorden Burt LLP | USA | 28 Jan 2011

SEC commissioners divide over fiduciary duty for broker-dealers

January 28, 2011-- Last Friday, the SEC delivered to Congress a 166-page study (available here) mandated by the Dodd-Frank reform legislation (the "Study") concerning the regulatory requirements that apply to investment advisers and broker-dealers when they provide personalized investment advice about securities to retail customers.

Article

Baker Donelson Bearman Caldwell & Berkowitz PC | USA | 25 Jan 2011

SEC study recommends uniform fiduciary standard for broker-dealers and investment advisers

On January 21, the US Securities and Exchange Commission (SEC) released a study mandated under the Dodd-Frank Wall Street Reform and Consumer Protection Act.

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