Latest Publications

Share:

SEC Approves Rule Preventing Barters for Expungement Cooperation – What You Can Do to Ensure Compliance

On July 22, the U.S. Securities and Exchange Commission (SEC) approved the Financial Industry Regulatory Authority’s (FINRA) proposed Rule 2081, which prevents firms or associated persons from conditioning settlement or...more

7/28/2014 - Consideration Expungement FINRA Proposed Regulation SEC Settlement

SEC Issues $875,000 Whistleblower Award

On June 3, 2014, the Securities and Exchange Commission (SEC or Commission) issued a whistleblower award to two individuals who had provided information leading to a successful SEC enforcement action. The whistleblower...more

6/10/2014 - Dodd-Frank Enforcement Enforcement Actions SEC Whistleblower Awards Whistleblowers

NAIC Report: 2014 Spring National Meeting

The National Association of Insurance Commissioners (NAIC) met for its Spring National Meeting in Orlando, Florida from March 29 through April 1. Typical for the first national meeting of the year, much activity was focused...more

4/15/2014 - Casualty Insurance Corporate Governance Cyber Insurance Cybersecurity Flood Insurance Hedge Funds NAIC Private Equity Regulation Reinsurance Title Insurance

M&A Brokers Exempt from SEC Broker-Dealer Registration Requirements

On January 31, 2014, the U.S. Securities and Exchange Commission’s (SEC) Division of Trading and Markets issued a No-Action Letter (Letter)1 that allows a private business broker (M&A Broker) to receive transaction-based...more

2/10/2014 - Broker-Dealer No-Action Letters Registration SEC Securities Exchange Act

Insurance Topics We Will Be Watching in 2014

With the first month of the year behind us, this report outlines major insurance topics that we will be watching throughout 2014. Forces, trends and events that we believe will affect regulation, transactions and...more

2/7/2014 - Affordable Care Act Casualty Insurance Federal Insurance Office Healthcare Healthcare Reform Insurance Reform Insurers NAIC Property Insurance Reinsurance

SEC’s Examination Program Issues a Risk Alert on Investment Adviser Due Diligence Processes

On January 28, 2014, the U.S. Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert entitled: Investment Adviser Due Diligence Processes for Selecting...more

2/3/2014 - Compliance Due Diligence Enforcement Investigations OCIE SEC

SEC and FINRA Publish 2014 Examination Priorities for Broker-Dealers

On January 9, 2014, the U.S. Securities and Exchange Commission (SEC) published its 2014 examination priorities (SEC Letter), just one week after the Financial Industry Regulatory Authority (FINRA) published its 2014...more

1/20/2014 - Broker-Dealer FINRA SEC

SEC Publishes 2014 Examination Priorities for Investment Advisers

On January 9, 2014, the U.S. Securities and Exchange Commission (SEC) published its 2014 examination priorities letter (“SEC Letter”) for its National Examination Program (NEP). The NEP covers all markets and entities...more

1/20/2014 - Compliance Enforcement Fraud Investigations Investment Adviser NEP SEC

Legal Alert: Final Volcker Rule: Update and Key Takeaways for Insurers

On December 10, 2013, the Federal Reserve Board (FRB), the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, the Securities and Exchange Commission, and the Commodity Futures Trading...more

1/15/2014 - Bank Holding Company Act Banks CFTC Collateralized Debt Obligations Dodd-Frank Federal Reserve OCC Proprietary Trading SEC Trust Preferred Securities Volcker Rule

FIO Report Sets the Agenda for Discourse on the Future of Insurance Regulation

On December 12, 2013, the Federal Insurance Office (FIO) of the U.S. Department of the Treasury released its much anticipated study, How to Modernize and Improve the System of Insurance Regulation in the United States...more

1/15/2014 - Dodd-Frank Federal Insurance Office Insurance Companies Insurance Reform Insurers NAIC Title V

Legal Alert: Final Volcker Rule: Update and Key Takeaways

On December 10, 2013, the Federal Reserve Board (FRB), the Federal Deposit Insurance Corporation (FDIC), the Office of the Comptroller of the Currency (OCC), the Securities and Exchange Commission and the Commodity Futures...more

1/13/2014 - Bank Holding Company Act Banks CFTC Collateralized Debt Obligations Compliance Dodd-Frank FDIC Federal Reserve OCC Proprietary Trading Trust Preferred Securities Volcker Rule

Legal Alert: NAIC Report: Fall 2013 National Meeting

The National Association of Insurance Commissioners (NAIC) returned to Washington, D.C. for its Fall meeting – the final national meeting for 2013. Two notable events overshadowed technical work on various NAIC initiatives: ...more

12/23/2013 - Federal Insurance Office Insurers NAIC

Federal Agencies Issue Final Volcker Rule

On December 10, 2013, five federal agencies, including the Federal Reserve Board, the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, the Securities and Exchange Commission, and the...more

12/16/2013 - Banks CFTC Compliance Dodd-Frank FDIC OCC SEC Volcker Rule

NAIC Report: 2013 Summer National Meeting

The National Association of Insurance Commissioners (NAIC) met in Indianapolis, Indiana, from August 24-27, 2013. Typical for the mid-year meeting, activity largely consisted of reports by various task forces and working...more

9/4/2013 - Insurers NAIC Reinsurance

Legal Alert: Private Offerings: The SEC Lifts Ban on General Solicitation But Proposes a Hefty Regulatory Burden in Return

During an open meeting of the U.S. Securities and Exchange Commission (the SEC) on July 10, 2013, the SEC adopted a rule that lifts the ban on general solicitation of unregistered securities offerings and paves the way for...more

7/17/2013 - Advertising Bad Actors General Solicitation JOBS Act Regulation D Rule 144A Rule 506 Offerings SEC U.S. Treasury

Legal Alert: New York Department of Financial Services Issues 308 Request on Cyber Threats

On May 28, 2013, the New York State Department of Financial Services (DFS) sent inquiries to 31 of the largest life, health and property/casualty insurance companies pursuant to its authority under Section 308 of the New York...more

6/11/2013 - Critical Infrastructure Sectors Cyber Attacks Cyber Threats Cybersecurity HIPAA Internal Controls

16 Results
|
View per page
Page: of 1