Despite the new administration, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) have both continued to make novel interpretations and to bring enforcement actions that break...more
10/11/2018
/ Acquisitions ,
Administrative Law Judge (ALJ) ,
Advertising ,
Anti-Money Laundering ,
Broker-Dealer ,
CFTC ,
Counter-Terrorist ,
Cryptocurrency ,
Enforcement Actions ,
EU ,
Fiduciary Duty ,
FinCEN ,
General Data Protection Regulation (GDPR) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Mergers ,
NFA ,
Registered Investment Companies (RICs) ,
Securities and Exchange Commission (SEC) ,
Volcker Rule
On Tuesday, November 15, 2016, the Securities and Exchange Commission (SEC) announced that Chair Mary Jo White will resign as SEC Commissioner effective January 20, 2017, concurrently with the end of President Obama’s term of...more
On December 10, 2013, five federal agencies released the final rules implementing Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Volcker Rule). The Volcker Rule will be effective on April 1,...more