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
The federal budget sequester and recent Supreme Court decision in Gabelli et al. v. Securities and Exchange Commission, 568 U.S. ____ (2013), will not substantially slow down regulators’ enforcement efforts, according to...more
3/25/2013 - CFTC FINRA Gabelli v SEC Insider Trading SEC Sequestration SIFMA Structured Financial Products
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
According to a recent Bloomberg report, the Consumer Financial Protection Bureau is considering whether it should take a role in helping Americans manage their retirement savings. CFPB Director Richard Cordray told a...more
2/26/2013 - CFPB Dodd-Frank DOL FINRA Retirement Richard Cordray Savings Plans SEC
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