Securities Law

Read Consumer Protection updates, news, and legal commentary from leading lawyers and law firms:

News & Analysis as of May 20, 2013

THE SARBANES-OXLEY ACT OF 2002 Section 806 -- Protection for Employees of Publicly Traded Companies Who Provide Evidence of Fraud

by Barry Fagan on 3/8/2013

"Whistleblower Protection for Employees of Publicly Traded Companies.--No company with a class of securities registered under section 12 of the Securities Exchange Act of 1934 (15 U.S.C. 78l), or that is required to file...more

CFPB Issues Guidance On Loan Originator Compensation

by BuckleySandler LLP on 4/4/2012

In response to questions it has received from loan originators and their firms seeking to comply with compensation rules issued under TILA Regulation Z, the CFPB today issued Bulletin 2012-02. The Bulletin states that...more

Consumer Financial Protection Bureau Opens Whistleblower Complaint Hotline

by Venable LLP on 1/2/2012

The Consumer Financial Protection Bureau (the "CFPB") recently went live with a telephone hotline and email address for tipsters and whistleblowers with information about potential violations of federal consumer financial...more

Dodd Frank and the FCPA: The Truth and Consequences

by Michael Diaz Jr. - Diaz Reus International... on 2/9/2011

On July 21, 2010, President Obama signed the Dodd Frank Wall Street Reform and Consumer Protection Act (?Dodd Frank? or the ?Act?) into law. Despite its title, Dodd Frank?s mandate goes beyond a comprehensive overhaul of...more

Public Finance Alert: SEC Proposal May Require Municipal Entity Board Members and Conduit Borrower Board Members and Financial...

by Mintz Levin - Public Finance on 1/4/2011

On December 20, 2010, the Securities and Exchange Commission (SEC) released proposed rules (the “Proposed Rules”) that would require appointed board members of a municipal bond issuer or other municipal entity that invests...more