Yesterday August 16, the SEC announced the settlement of yet another action against a company over what is, apparently, the most critical issue
On July 28, 2016, the Consumer Financial Protection Bureau (“CFPB”) released a partial outline of debt collection proposals under consideration
On June 13, 2016, the Securities and Exchange Commission (SEC) accepted the settlement offers made by two firms and three executives charged with
The Department of Labor (the "DOL") has released a much-anticipated Advisory Opinion on the treatment of cleared swaps for ERISA plans. Advisory
The Municipal Securities Rulemaking Board, or MSRB, today filed amendments to its proposal regarding the duties of underwriters to state and local government issuers under the MSRB’s “fair dealing” rule.
On October 12, 2011, the Securities and Exchange Commission joined the Federal Reserve Board, the Office of the Comptroller of the Currency, and the Federal Deposit Insurance Corporation in proposing for comment the so-called “Volcker Rule” to implement Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
The SEC and the Municipal Securities Rulemaking Board (MSRB) have withdrawn several proposals relating to municipal advisors.
In December 2010, the Securities and Exchange Commission extended an interim final rule regulating an investment adviser’s principal transactions with its clients.
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”).
Secretary of the Commonwealth William Francis Galvin has proposed regulations to add conditions to the use of "matching or expert network services" by investment advisers which are registered in Massachusetts or operating in Massachusetts within an exemption from registration.