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45 results found

Article

Winston & Strawn LLP | USA | 17 Aug 2016

SEC Whistleblower Actions Suggest Immediate Changes to Severance and Release Agreements

Yesterday August 16, the SEC announced the settlement of yet another action against a company over what is, apparently, the most critical issue

Article

White & Case LLP | USA | 3 Aug 2016

CFPB Opts to Split Debt Collection Rulemaking Process

On July 28, 2016, the Consumer Financial Protection Bureau (“CFPB”) released a partial outline of debt collection proposals under consideration

Article

Bracewell LLP | USA | 21 Jul 2016

Municipal Advisor, School Consultant, and Associated Individuals Enter Settlement Offers with SEC after First-of-Its-Kind Municipal Advisor Antifraud Enforcement Action

On June 13, 2016, the Securities and Exchange Commission (SEC) accepted the settlement offers made by two firms and three executives charged with

Article

Ropes & Gray LLP | USA | 22 Mar 2013

DOL issues advisory opinion on cleared swaps

The Department of Labor (the "DOL") has released a much-anticipated Advisory Opinion on the treatment of cleared swaps for ERISA plans. Advisory

Article

Stinson LLP | USA | 3 Nov 2011

MSRB files amendments to underwriter fair dealing proposal

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.

Article

Foley & Lardner LLP | USA | 13 Oct 2011

Volcker Rule proposed for comment

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.

Article

Katten Muchin Rosenman LLP | USA | 5 Oct 2011

SEC and MSRB withdraw municipal advisor proposals

The SEC and the Municipal Securities Rulemaking Board (MSRB) have withdrawn several proposals relating to municipal advisors.

Article

Morrison & Foerster LLP | USA | 5 Oct 2011

SEC extends sunset of Rule 206(3)-3T; staff study will shape future regulation of principal transactions

In December 2010, the Securities and Exchange Commission extended an interim final rule regulating an investment adviser’s principal transactions with its clients.

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

Foley Hoag LLP | USA | 21 Apr 2011

Secretary Galvin proposes expert network regulations for Massachusetts advisers

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.

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