Privacy, Consumer Protection, Securities Law

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

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

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

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

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 - March 15, 2013

by BuckleySandler LLP on 3/16/2013

In This Issue: - FEDERAL ISSUES - STATE ISSUES - COURTS - MISCELLANY - FIRM NEWS - MORTGAGES - BANKING - CONSUMER FINANCE - SECURITIES - E-COMMERCE - PRIVACY/DATA SECURITY - PAYMENTS - Excerpt...more

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - November 30, 2012

by BuckleySandler LLP on 12/3/2012

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

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - (Updated) September 28, 2012

by BuckleySandler LLP on 10/1/2012

Topics In This Issue: - MORTGAGES - BANKING - CONSUMER FINANCE - SECURITIES - CREDIT CARDS - E-COMMERCE - PRIVACY/DATA SECURITY - PAYMENTS - Excerpt From Federal Issues: CFPB...more

Infobytes - August 31 2012 - A Weekly In-depth review of news & developments in the financial services industry

by BuckleySandler LLP on 9/4/2012

In This Issue: - MORTGAGES - BANKING - CONSUMER FINANCE - SECURITIES - E-COMMERCE - PRIVACY/DATA SECURITY - FEDERAL ISSUES - Excerpt From Federal Issues: FHFA Increases Mortgage Guarantee Fees. On...more

InfoBytes, August 3, 2012 - A Weekly In-depth review of news & developments in the financial services industry.

by BuckleySandler LLP on 8/6/2012

TOPICS IN THIS ISSUE: - MORTGAGES – BANKING – CONSUMER FINANCE – SECURITIES – E-COMMERCE - PRIVACY/DATA SECURITY – FEDERAL ISSUES Excerpt from Federal Issues: CFPB Exercises Enforcement Authority Against...more

InfoBytes, July 20, 2012 - A Weekly In-depth review of news & developments in the financial services industry.

by BuckleySandler LLP on 7/23/2012

Topics In This Issue: - MORTGAGES - BANKING - CONSUMER FINANCE - SECURITIES - E-COMMERCE - PRIVACY/DATA SECURITY - CREDIT CARDS - CRIMINAL ENFORCEMENT Excerpt From Federal issues: FEDERAL...more

SEC and CFTC Propose Rules to Detect and Prevent Identity Theft

by Morrison & Foerster LLP on 3/9/2012

On February 28, 2012, the SEC and the CFTC jointly proposed rules that would require funds and advisers to affirmatively combat identity theft. The proposed rules would require registered investment companies, investment...more

Advertising Law -- March 1, 2012

by Manatt, Phelps & Phillips, LLP on 3/2/2012

In This Issue: FCC Issues New Regs on Robocalls Lack of Magnetic Attraction Leads to False Ad Suit SEC Cautions Advisers About Risks of Social Media Google’s Privacy Changes Result...more

InfoBytes, January 20, 2012 - A Weekly In-depth review of news & developments in the financial services industry.

by BuckleySandler LLP on 1/26/2012

Topics In This Issue • Federal Issues • State Issues • Courts • Firm News • Firm Publications • Mortgages • Banking • Consumer Finance • Securities • Litigation • Privacy/Data Security • Criminal...more

Broker and Compliance Officer of Broker-Dealer Firm Personally Fined by SEC for Customer Privacy Violations

by Proskauer Rose LLP on 4/12/2011

On April 7, 2011, the SEC announced that it had imposed fines of $20,000 each against the former president of a broker-dealer and a former broker for their actions in transferring customer information to a new firm as the...more

InfoBytes, December 03, 2010 - Weekly In-depth review of news & developments in the financial services industry

by BuckleySandler LLP on 12/3/2010

Topics In This Issue • Federal Issues • State Issues • Courts • Firm News • Miscellany • Mortgages • Banking • Consumer Finance • Securities • E-Financial Services • Privacy/Data Security • Criminal...more

Volume 6 Issue 2

by Washington Journal of Law, Technology & Arts on 10/12/2010

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

Consumer Privacy Issues Abound in the Dodd-Frank Wall Street Reform and Consumer Protection Act

by Reed Smith on 7/20/2010

Bill Proposes a New Consumer Financial Services Agency with Considerable Privacy Responsibilities Introduction With President Obama scheduled to sign the Dodd-Frank Wall Street Reform and Consumer Protection Act...more

Privacy and Security Advisory: Proposed Amendments May Expand Protections of Consumer Financial Information in the Securities...

by Mintz Levin - Corporate & Securities on 4/24/2008

On March 4, 2008, the Securities and Exchange Commission (SEC or the “Commission”) proposed amendments to Regulation S-P, which governs the privacy of consumer financial information in the securities industry, in an effort...more

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