In 2012, the SEC and FINRA continued their vigorous enforcement of the securities laws, rules, and regulations—with cases against broker-dealers, investment advisers, and investment companies accounting for 38% of the SEC...more
2/7/2013 - Broker-Dealer Enforcement Actions FINRA Investment Adviser SEC
Rule lists criteria that lenders must consider in determining a prospective borrower has the ability to repay a loan and defines Dodd-Frank's concept of a "qualified mortgage." On January 10, the Consumer Financial...more
1/17/2013 - Ability-to-Repay Borrowers CFPB Dodd-Frank Lenders Loans Mortgages Qualified Mortgage Rule TILA
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