House Financial Services Committee Votes To Repeal And Replace Dodd-Frank -
On September 13th, the House Financial Services Committee approved the Financial CHOICE Act of 2016 to repeal and replace key parts of the 2010...more
10/5/2016
/ Broker-Dealer ,
Class Action ,
Commercial Real Estate Market ,
Consumer Financial Protection Bureau (CFPB) ,
Cyber Threats ,
Dodd-Frank ,
Enforcement Actions ,
Financial Institutions ,
FinTech ,
FSOC ,
OCC ,
Private Equity ,
Securities and Exchange Commission (SEC) ,
Whistleblowers
On June 23, 2016, the SEC instituted a settled enforcement action against Merrill Lynch, Pierce, Fenner & Smith Inc. and Merrill Lynch Professional Clearing Corp. (collectively, “Merrill”), in which Merrill agreed to pay $415...more