Today, April 19, 2013, the Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) published in the Federal Register rules and guidelines requiring their respective regulated financial...more
4/22/2013 - CFTC Cybersecurity Data Protection Dodd-Frank FCRA Identity Theft SEC
Editor’s Note - This is a dignified law firm newsletter, not like the “Brand X” versions. You won’t find pandering, attention-grabbing stories about Justin Bieber, Kim Kardashian, Ashton Kutcher, Prince William, or...more
3/13/2013 - Arbitration Barack Obama CFPB China Credit Reports Cybersecurity Data Protection Debt Collection Dodd-Frank Dukes v Wal-Mart FDCPA FDIA FDIC Federal Reserve FHA Foreclosure FTC Mobile Apps Recess Appointments Richard Cordray Social Media Telemarketing
FINRA recently amended Rule 4530 (Reporting Requirements) to make required reporting by member firms of certain regulatory and disciplinary events less burdensome. Those relatively minor changes will be discussed below. But...more
2/27/2013 - Audits Discipline Enforcement FINRA Reporting Requirements SEC Violative Conduct
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