Labor & Employment Securities Consumer Protection

Read need-to-know updates, commentary, and analysis on Labor & Employment issues written by leading professionals.
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OSHA Increases Scrutiny of Whistleblower Settlement Agreements

Following the SEC’s lead, OSHA recently announced new guidelines that it will consider when deciding whether to approve settlement agreements reached during OSHA investigations of whistleblower claims....more

SEC Continues Crackdown on Severance Agreements

Why it matters - The Securities and Exchange Commission (SEC) continued its efforts against anti-whistleblowing provisions in severance agreements, fining one employer $265,000 for the use of an allegedly illegal clause....more

Financial Services Weekly News - August 2016 #3

Editor's Note - MetLife Fights On. MetLife continued to fight its designation as a nonbank systemically important financial institution (SIFI) this week as the insurer filed its reply brief in the Financial Stability...more

Financial Services Weekly News - June 2016 #3

Regulatory Developments - OFAC Updates Frequently Asked Questions Regarding Lifting Sanctions on Iran - On June 8, the Office of Foreign Assets Control of the U.S. Department of the Treasury (OFAC) updated its...more

Financial Services Weekly News - June 2016 #2

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

Your daily dose of financial news The Brief – 6.6.16

Some thoughts about why the relatively dismal May employment numbers (just 38k jobs added) isn’t really as bad as it would seem on first glance...more

Financial Services Weekly News - June 2016

Regulatory Developments - SEC Staff Updates 2014 Money Market Fund Reform FAQs - On May 23, the staff of the Securities and Exchange Commission’s (SEC) Division of Investment Management published additional...more

Financial Services Weekly News - May 2016 #4

Breaking News - Solicitor General Files Brief in Madden v. Midland Funding - On May 24, the U.S Solicitor General (SG) filed a brief with the U.S. Supreme Court (the Court) in the matter of Madden v. Midland...more

Orrick's Financial Industry Week in Review

CFPB Proposes Prohibition on Mandatory Consumer Arbitration Clauses - On May 5, 2016, the Consumer Financial Protection Bureau (CFPB) issued and sought comment on proposed rules prohibiting mandatory arbitration clauses...more

The Battle Over Fiduciary Status for Brokers Giving Retirement Advice Wages On

The battle over the DOL’s efforts to implement a new law that will impose a fiduciary standard on anyone giving retirement advice continues with some now questioning whether critics of the law really believe its effects will...more

A Summary of Comments From the DOL Hearing on the Proposed Conflict of Interest Rule

On August 13, 2015, the Department of Labor (the “DOL”) concluded a four day public hearing on its proposed conflict of interest rule (the “Proposed Rule”). The approximately 75 witnesses generally fell into two groups: the...more

Dodd-Frank diversity standards: just out of the gate and already under fire

Just days after the release of the final diversity standards under Section 342 of the Dodd-Frank Act, several prominent lawmakers and business leaders have criticized the new standards for not going far enough to promote...more

Financial Agencies’ Joint Diversity Standards Voluntary for Regulated Entities

Six federal financial agencies—the Federal Reserve Board, the Federal Deposit Insurance Corporation, the National Credit Union Administration, the Office of the Comptroller of the Currency, the Consumer Financial Protection...more

Six Federal Regulators Issue Final Interagency Policy Statement on Diversity Policies and Practices of Regulated Entities

On June 9, the Federal Reserve Board, Consumer Financial Protection Bureau, Federal Deposit Insurance Corporation, National Credit Union Administration, Office of the Comptroller of the Currency and Securities and Exchange...more

Financial Services Weekly News Roundup - May 2015

In This Issue – More on the SEC Whistleblower Program. In the April 8 issue of the Roundup we reported on the SEC’s administrative proceedings based on findings that restrictive language in a form confidentiality...more

BakerHostetler 2014 Year-End Review of Class Actions (and what to expect in 2015)

We are pleased to share with you the BakerHostetler 2014 Year-End Review of Class Actions, which offers a summary of some of the key developments in class action litigation during the past year. Class action litigation...more

Dodd-Frank News: May 2014: Dodd-Frank Wall Street Reform and Consumer Protection Act Update

In This Issue: - RECENT CASES ..Preemption ..CFPB Involvement in Litigation ..CFTC Regulation of Retail Commodity Transactions ..Durbin Amendment ..Appraiser Disclosure Requirements Under...more

BakerHostetler 2013 Year-End Review of Class Actions (and what to expect in 2014)

I. Introduction - Library shelves will someday swell with history books about the U.S. Supreme Court under the leadership of Chief Justice John Roberts. No doubt sensational cases about corporate speech, national...more

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

"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

Dodd Frank and the FCPA: The Truth and Consequences

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...

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

SEC Proposes Say-on-Pay Rules

Advisory Votes on Executive Compensation and “Golden Parachute” Compensation, and Frequency of the Executive Compensation Vote The Securities and Exchange Commission (SEC) has proposed rules regarding shareholder advisory...more

SEC Issues Proposed Dodd-Frank Whistleblower Rules

Yesterday, the Securities and Exchange Commission released a 181-page set of Proposed Rules for the implementation of the new, robust whistleblower provisions enacted as part of the Dodd-Frank Wall Street Reform and Consumer...more

Volume 6 Issue 2

WASHINGTON JOURNAL OF LAW, TECHNOLOGY & ARTS PUBLISHES AUTUMN ISSUE SEATTLE—Today the University of Washington School of Law published the Autumn 2010 issue of the new Washington Journal of Law, Technology & Arts, the...more

New Whistleblower Protections for Financial Service Employees

Much attention has been given to the whistleblower protections of Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. That section, effective immediately on enactment, expanded whistleblower...more

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