News & Analysis as of

Administrative Agency Consumer Protection Securities

Read need-to-know updates, commentary, and analysis on Administrative Agency issues written by leading professionals.

Tenth Circuit ruling on constitutionality of SEC administrative judges: implications for CFPB

by Ballard Spahr LLP on

Just before year-end, the U.S. Court of Appeals for the Tenth Circuit, in Bandimere v. United States Securities and Exchange Commission, set aside an SEC decision finding the petitioner liable for violating various securities...more

SEC's Focus on Private Equity Firms Continues with Recent Action

by Dechert LLP on

A settled enforcement action, announced by the U.S. Securities and Exchange Commission (SEC) on September 14, 2016, continues the trend of increased SEC scrutiny of private equity advisers concerning the allocation and...more

Financial Services Weekly News - August 2016 #2

by Goodwin on

Editor's Note - OATS Reporting Violations and FINRA Enforcement. FINRA’s Order Audit Trail System (OATS), is an integrated audit trail of order, quote and trade information for all NMS stocks and OTC equity securities,...more

Financial Services Weekly News - June 2016 #2

by Goodwin on

Regulatory Developments - CFPB Proposed Rule to Limit Payday Lending and Other High Cost Loans - On June 2, the Consumer Financial Protection Bureau (CFPB) proposed a rule designed to limit payday loans, auto title...more

Stop Faxing

by Brooks Pierce on

I’ve long thought that sending faxes was a pretty silly means of communication. Don’t send me a fax. I don’t want it. At some point I’m hoping that even my kids’ doctor’s office will get dragged into the 20th century and...more

Financial Services Weekly News - April 2016 #4

by Goodwin on

Regulatory Developments - Federal Banking Regulators Propose Net Stable Funding (Liquidity) Ratio - The Board of Governors of the Federal Reserve System (Federal Reserve), the Federal Deposit Insurance Corporation...more

Final Diversity and Inclusion Standards Issued Jointly by Six Federal Agencies

by Ballard Spahr LLP on

Pursuant to a mandate contained in Section 342 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank or Act), six federal agencies jointly issued new Diversity and Inclusion (D&I) Standards today. These...more

ASIC announces proposed regulatory guide for review and remediation in the industry

by DLA Piper on

After several high profile remediation programs by financial advice organisations, the Australian Securities and Investment Commission (ASIC) has decided to prepare guidance for industry participants in how to develop and...more

The SEC’s Telling Enforcement Shift

by Burr & Forman on

The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 made numerous, and significant, changes to the Securities and Exchange Commission’s regulatory powers particularly with respect to regulated professionals...more

SEC and FINRA Announce 2015 Exam Priorities

by Cozen O'Connor on

The U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) recently announced their 2015 exam priorities for their respective examination programs. Both the SEC and FINRA have...more

The Results Are In: Investors Favor Additional Regulatory Protection

On November 6, 2014, FINRA released results from a survey of U.S. investors measuring the demand for additional regulatory protections. The survey polled 1,000 adults and revealed that an overwhelming majority felt that it...more

SEC Charges Recidivist Adviser, Co-Founders With Violations of Custody Rule

by Dorsey & Whitney LLP on

The SEC has brought a number of custody rule cases as part of its broken windows initiative. Its newest proceeding centered on the custody rule, however, is a contested administrative proceeding which names as Respondents an...more

SEC Cybersecurity Initiative: Five Steps ALL Broker-Dealers and Investment Advisers Should be Taking

Last week, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert announcing its Cybersecurity Initiative....more

Circuit Court Largely Rejects Challenges To SEC Conflict Mineral Rules

by Dorsey & Whitney LLP on

The SEC largely prevailed in the D.C. Circuit Court of Appeals in a suit changing the Rules promulgated by the agency under Dodd-Frank regarding conflict minerals. National Association of Manufacturers v. SEC, No.. 13-5252...more

SEC v. Douglas F. Vaughan, The Vaughan Company, Realtors, Inc., and Vaughan Capital, LLC, United States District Court for the District of New Mexico, Civil Action No. 1:10-cv-00263-MCA-WPL

Realtor charged in investment ponzi schemeNot Applicable

For thouse of you with losses in real esate investmetns it may be of interest to note the SEC is taking an interest. The Securities and Exchange Commission yesterday filed fraud charges against a prominent New Mexico...more

The End of Unlimited FDIC Insurance: How Banks Can Retain—and Depositors Can Protect—Their Uninsured Deposits

In an attempt to limit the flight of deposits from insured depository institutions resulting from the 2008 fiscal crisis, Section 343 of the Dodd-Frank Wall Street Reform and Consumer Protection Act provided temporary,...more

Dodd-Frank Implementation: Navigating the Road Ahead

by Morrison & Foerster LLP on

Table of Contents: Introduction; Financial Stability Reform; Resolution Planning; Agencies and Agency Oversight Reform; Securitization Reform; Derivatives Regulation; Investor Protection Reform; Credit Rating Agency...more

No-Action Relief Granted with Respect to Classification of Certain Persons as Owners of Broker-Dealers for Purposes of the Net...

by Katten Muchin Rosenman LLP on

On December 10, 2012, the Securities and Exchange Commission granted no-action relief in a situation in which a broker-dealer classifies: a person (in one or more classes of ownership of the broker-dealer) as an owner of the...more

Pennsylvania Enacts Changes to Banking Laws

by Ballard Spahr LLP on

Significant changes to Pennsylvania banking laws will take effect on December 24, 2012, as a result of three bills, known as the “Banking Law Modernization Package,” signed into law by Governor Tom Corbett....more

CFTC Issues Required Clearing Determination for Certain Credit Default and Interest Rate Swaps

In its first mandatory clearing determination, as required by the Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act), the Commodity Futures Trading Commission has determined that certain types of credit...more

NFA Launches FCM Financial Information Platform

by Katten Muchin Rosenman LLP on

The National Futures Association (NFA) has launched a new service that allows the public to obtain relevant information about any member futures commission merchant (FCM) more easily. NFA’s Background Affiliation Status...more

CFTC Proposes Rules to Enhance Protections for Customer Funds

by Katten Muchin Rosenman LLP on

The Commodity Futures Trading Commission published proposed rules that are designed to increase protections for customers and customer funds held by futures commission merchants (FCMs) and derivatives clearing organizations...more

New Rules for Remittance Transfer Providers

Money transfers sent abroad from inside the U.S., known as remittances, total in the tens of billions of dollars each year, according to the Consumer Financial Protection Bureau ("CFPB"). Beginning in January 2013, the CFPB,...more

Dodd-Frank Considerations for End-Users of Derivatives

by Morrison & Foerster LLP on

More than two years after the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”), regulations under Title VII of that legislation have reached a sufficiently advanced point that...more

Current Issues in Securities Regulation (Presentation)

by Dentons on

In this presentation, FMC's Mark Evans discusses the current issues in the area of Securities Regulation, including whether or not to settle in the face of civil risk, and the protection of elderly investors. Learn more...more

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