Consumer Protection, Securities Law, Finance & Banking

New SEC Identity Theft Red Flag Regulations Call Attention to Investment Advisers

by Charles Hertlein, Jr. | Dinsmore & Shohl LLP on 5/21/2013

It is probably fair to say most registered investment advisers, at least those below a certain size, did not pay a great deal of attention to the anti-identity theft, or “red flag” rules jointly adopted by the Federal Trade...more

Client Alert: SEC Publishes Cross-Border Release and Reopens Comment Period for Dodd-Frank Rules

by Mara Giorgio, Micah Green, Matthew Kulkin | Patton Boggs LLP on 5/20/2013

On May 1, 2013, the Securities and Exchange Commission (SEC or Commission) held an open meeting to consider: - Whether to propose new rules and interpretive guidance for cross-border security-based swap (SBS)...more

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - May 17, 2013

by BuckleySandler LLP on 5/20/2013

In This Issue: - FEDERAL ISSUES - STATE ISSUES - COURTS - FIRM NEWS - FIRM PUBLICATIONS - MORTGAGES - BANKING - CONSUMER FINANCE - SECURITIES - PRIVACY/DATA SECURITY - Excerpt from...more

Financial Services Legislative and Regulatory Update -- May 13‚ 2013

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 5/13/2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - What had been a relatively quiet week, where until Friday it seemed...more

Financial Services Legislative and Regulatory Update -- April 29‚ 2013

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 5/1/2013

In This Issue: Leading the Past Week; Legislative Branch; and Executive Branch. Excerpt from Leading the Past Week - The past week could be best described by one word. Chaos. In the House, a scheduled...more

Bill on Bankruptcy: Kodak Plan Bumps the Debt, Craters Stock [Video]

by Bloomberg Law on 5/1/2013

May 2 (Bloomberg Law) -- Eastman Kodak Co. filed a Chapter 11 plan that cratered the stock and bumped up the unsecured notes, although the plan may be revised to pay off second-lien debt fully in cash, as Bloomberg Law's Lee...more

SEC and CFTC Issue Identity Theft Red Flags Rules Applicable to Financial Institutions and Creditors

by Timothy Blank, Nicholas DiLorenzo, Owen C.J. Foster, Christopher Harvey | Dechert LLP on 4/30/2013

The SEC and CFTC recently issued joint Identity Theft Red Flags Rules (the “Rules”), which are rules and guidelines requiring certain financial institutions worldwide to adopt comprehensive data security programs to detect...more

Orrick's Financial Industry Week in Review - April 29, 2013

by Orrick, Herrington & Sutcliffe LLP on 4/29/2013

In This Issue: Financial Industry Developments: CFPB Proposed Clarifications on Qualified Mortgage Rules; SEC Credit Ratings Roundtable; FDIC Proposed Guidance on Deposit Advance Products; Rating Agency Developments; RMBS...more

Banking & Financial Services E-Note - April 25, 2013

by John Chiles, Benjamin Coulter, Bryan Glover, John Michael Kearns, Mignon Lunsford, Zachary Miller, Jordan Teague | Burr & Forman on 4/26/2013

In This Issue: - Regulators Could Step in with Tougher Rules as Bank Profits Rise - Bill Would Force Study of Basel III Impact on Bank Capital Costs - Regulator Wants Enforcement Powers Against Bank...more

SEC and CFTC Issue Final Joint Rules on “Red Flags” Compliance

by Cynthia Larose, Adam Veness | Mintz Levin - Corporate & Securities on 4/25/2013

The Securities Exchange Commission (“SEC”) and the Commodity and Futures Trade Commission (“CFTC”) (together, the “Commissions”) have issued final joint rules and guidelines that require certain entities regulated by the...more

CFPB issues report on financial advisers to seniors

by Barbara S. Mishkin | Ballard Spahr LLP on 4/23/2013

The CFPB, through its Office of Financial Protection for Older Americans, has issued a report to Congress and the SEC that makes recommendations for informing older consumers about the legitimacy of certifications of...more

Financial Services Legislative and Regulatory Update -- April 22, 2013

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 4/22/2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - It was another incredibly busy week, but obviously our thoughts and...more

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - April 19, 2013

by BuckleySandler LLP on 4/22/2013

In This Issue: - FEDERAL ISSUES - STATE ISSUES - COURTS - FIRM NEWS - FIRM PUBLICATIONS - MORTGAGES - BANKING - CONSUMER FINANCE - SECURITIES - CREDIT CARDS - Excerpt from Consumer...more

Financial Services Bulletin: Action At The CFTC, SEC, CFPB, Fed, And FDIC

by Perkins Coie on 4/19/2013

On Wednesday, April 10, 2013, the Commodity Futures Trading Commission (the "CFTC") and the Securities and Exchange Commission (the "SEC") jointly issued final rules and guidelines that will require certain regulated entities...more

SEC and CFTC Adopt Joint Rules to Help Protect Investors from Identity Theft

by Avi Badash, Ross Pazzol | Katten Muchin Rosenman LLP on 4/16/2013

The Securities and Exchange Commission, jointly with the Commodity Futures Trading Commission, adopted rules and guidelines to require certain entities regulated by the SEC and CFTC, such as broker-dealers, mutual funds and...more

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - April 5, 2013

by BuckleySandler LLP on 4/8/2013

In This Issue: - FEDERAL ISSUES - STATE ISSUES - COURTS - MISCELLANY - FIRM NEWS - MORTGAGES - BANKING - CONSUMER FINANCE - SECURITIES - PAYMENTS - Excerpt from Payments: CFPB...more

DF Protocol Deadline is May 1, 2013

by Jeffrey D. Collins, Diana W. Lo | Foley Hoag LLP on 4/3/2013

Managers Who Use Swaps Should Act Now - Managers of funds and separately managed accounts that use swaps are reminded that they (or their clients) must complete the DF Protocol Adherence Letter and DF Protocol...more

Bill on Bankruptcy: Stockton May Win the Battle, Lose the War [Video]

by Bloomberg Law on 4/3/2013

April 2 (Bloomberg Law) -- Although Stockton, California established the right to be in a Chapter 9 municipal bankruptcy, the judge warned the city that victory may be short-lived if bondholders prove that pensioners must...more

Senate Banking Committee Approves Nominees For Top CFPB, SEC Spots

by BuckleySandler LLP on 3/27/2013

On March 19, the Senate Banking Committee approved Mary Jo White to serve as SEC Commissioner/Chair through June 2014, and Richard Cordray to serve a five-year term as CFPB Director. The vote on Ms. White was 20-1. Senator...more

Dodd-Frank News - March 2013: Dodd-Frank Wall Street Reform And Consumer Protection Act Monthly Update

by Rachel Cash, David Elliott, Kristin Peters, Jordan Teague | Burr & Forman on 3/27/2013

In This Issue: - Recent Cases ..CFTC Jurisdiction Under the Commodity Exchange Act ..Dodd-Frank Amendment to the TILA ..Preemption ..Say-On-Pay Voting ..Pre-Dispute Arbitration Agreements ...more

Financial Services Legislative And Regulatory Update -- March 25‚ 2013

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 3/26/2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - Members rushed out of town at the end of last week for a two-week...more

Orrick's Financial Industry Week in Review - March 25, 2013

by Orrick, Herrington & Sutcliffe LLP on 3/25/2013

In This Issue: *Financial Industry Developments - Agencies Issue Updated Leveraged Lending Guidance - CFTC No-Action Relief from Required Clearing for Some Partial Swap Novations and Terminations - FHFA...more

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - March 22, 2013

by BuckleySandler LLP on 3/25/2013

In This Issue: - FEDERAL ISSUES - STATE ISSUES - COURTS - MISCELLANY - FIRM NEWS - FIRM PUBLICATIONS - MORTGAGES - BANKING - CONSUMER FINANCE - SECURITIES - E-COMMERCE -...more

Follow-On Shareholder Suits After CFPB Settlements - From the Experts

by Michael W. Jahnke, Michael Thurman | Loeb & Loeb LLP on 3/21/2013

Originally published in Corporate Counsel on March 4, 2013. Federal regulators landed the first blow: Several major credit card companies paid more than half a billion dollars in customer restitution and fines as part of...more

Consumer Financial Protection Bureau Remains In Limbo

by Lloyd B. Chinn, Harris M. Mufson, Steven J. Pearlman | Proskauer - Whistleblowing & Retaliation on 3/19/2013

The authority and leadership of the Consumer Financial Protection Bureau (CFPB), a body created by Dodd-Frank to regulate consumer protection of financial products and services, continues to remain in limbo in the wake of the...more

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Consumer Protection › Securities Law › Finance & Banking

New SEC Identity Theft Red Flag Regulations Call Attention to Investment Advisers

Client Alert: SEC Publishes Cross-Border Release and Reopens Comment Period for Dodd-Frank Rules

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - May 17, 2013

Financial Services Legislative and Regulatory Update -- May 13‚ 2013

Financial Services Legislative and Regulatory Update -- April 29‚ 2013

Bill on Bankruptcy: Kodak Plan Bumps the Debt, Craters Stock [Video]

SEC and CFTC Issue Identity Theft Red Flags Rules Applicable to Financial Institutions and Creditors

Orrick's Financial Industry Week in Review - April 29, 2013

Banking & Financial Services E-Note - April 25, 2013

SEC and CFTC Issue Final Joint Rules on “Red Flags” Compliance

CFPB issues report on financial advisers to seniors

Financial Services Legislative and Regulatory Update -- April 22, 2013

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - April 19, 2013

Financial Services Bulletin: Action At The CFTC, SEC, CFPB, Fed, And FDIC

SEC and CFTC Adopt Joint Rules to Help Protect Investors from Identity Theft

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - April 5, 2013

DF Protocol Deadline is May 1, 2013

Bill on Bankruptcy: Stockton May Win the Battle, Lose the War [Video]

Senate Banking Committee Approves Nominees For Top CFPB, SEC Spots

Dodd-Frank News - March 2013: Dodd-Frank Wall Street Reform And Consumer Protection Act Monthly Update

Financial Services Legislative And Regulatory Update -- March 25‚ 2013

Orrick's Financial Industry Week in Review - March 25, 2013

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - March 22, 2013

Follow-On Shareholder Suits After CFPB Settlements - From the Experts

Consumer Financial Protection Bureau Remains In Limbo

Bill on Bankruptcy: Kodak Plan Bumps the Debt, Craters Stock [Video]

Bill on Bankruptcy: Stockton May Win the Battle, Lose the War [Video]

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