Securities Business Organization Consumer Protection

Read need-to-know updates, commentary, and analysis on Securities issues written by leading professionals.
News & Analysis as of

Cybersecurity Concerns Underpin Continued Push In The Regulatory And Legal Arenas

While Congress continues its aggressive push on cybersecurity legislation, regulatory oversight and legal efforts continue across the spectrum of industries effectively filling the gap in addressing now every day concerns...more

CFTC Issues Relief for Family Offices

A family office is, generally, a professional organization that is wholly-owned by clients in a family and is exclusively controlled (directly or indirectly) by one or more members of a family and/or entities controlled by a...more

Current Issues in Securities Regulation (Presentation)

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

MF Global - U.S. Update as of November 7, 2011

SIPC Trustee Takes First Steps to Thaw Frozen Customer Securities Accounts On November 4, 2011, the SIPC Trustee took his first steps toward transferring frozen customer securities accounts held by MF Global Inc....more

Whistleblower Must Provide Information to the SEC to State a Retaliation Claim Under Dodd-Frank

A New York federal district court recently ruled that, with limited statutorily defined exceptions, a whistleblower asserting private relation claims under the Dodd-Frank Wall Street Reform and Consumer Protection Act must...more

Securitization and Loan Modification

Securitization Trusts & Loan Modifications At Odds Filed under: Bankruptcy,Loan Modification A major factor complicating private, voluntary loan modification efforts is securitization. The vast majority, somewhere upwards...more

Man Bites Dog: SEC Staff Overrules Congress

Yesterday, Broc Romanek reported in his blog that the Securities and Exchange Commission staff has posted several new Compliance and Disclosure Interpretations with respect to Say-on-Pay. In particular, I noted that the...more

Federal Reserve Publishes Final Rule Regarding the Conformance Period for the “Volcker Rule”

On February 9, 2011, the Board of Governors of the Federal Reserve System (“Federal Reserve”) published a final rule (“Final Rule”) implementing the provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act...more

SEC Adopts Final Say-on-Pay Rules

On January 25, the Securities and Exchange Commission adopted, by a 3-2 vote, final rules under Section 14A of the Securities Exchange Act of 1934, which was enacted by Section 951 of the Dodd-Frank Wall Street Reform and...more

More On Say-On-Pay Voting

In yesterday’s post, I make the point that the Dodd-Frank Act requires issuers to include a resolution in their proxy statement regarding the frequency of say-on-pay advisory votes. Because the vote on this resolution is...more

SEC Schedules Open Meeting to Discuss Say-on-Pay Proposed Rules and Changes to Accredited Investor Definition

On January 25, the Securities and Exchange Commission will hold an open meeting to discuss, among other matters, whether to adopt rules to implement Section 951 of the Dodd-Frank Wall Street Reform and Consumer Protection...more

Mixed Signals on "Say-on-Frequency" Vote

Under the Dodd-Frank Wall Street Reform and Consumer Protection Act, public companies holding their annual meetings on or after January 21 will be required to include in their proxy statements a non-binding proposal...more

The Dodd-Frank Act and Foreign Private Issuers: U.S. Financial Reform Creates New Risks and Obligations for Foreign Businesses...

On July 21, 2010, U.S. President Barack Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank). Intended as a response to the financial crisis of 2008, this legislation is both...more

Approval Voting And Determining Shareholder Intent

In this post last week, I wrote about the Dodd-Frank Act’s requirement that companies subject to the SEC’s proxy rules include in their proxy statements a resolution regarding the frequency of shareholder advisory votes on...more

Counting The Vote When There Are Three Choices

Section 951 of the Dodd-Frank Act requires companies that are subject to the SEC’s proxy rules to include in their proxy statements “a separate resolution subject to shareholder vote” to determine whether a shareholder vote...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

Rule 260.204.9 – What is to be Done (Part II)?

Last August, I wrote about the impact of the Dodd-Frank Act on Rule 260.204.9 in this post. Last Thursday, I attended a meeting called by the Department of Corporations to solicit input from persons with an interest in the...more

Must A Fund’s General Partner Be Registered?

The typical responsibilities of a general partner of an investment limited partnership are to handle the business and administrative aspects of the fund. In return, the general partner is compensated – often, based on a...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

SEC Outlines Planned Rulemaking Schedule to Implement Provisions of the Dodd-Frank Act

The Securities and Exchange Commission has announced its planned schedule for proposing and adopting rules and taking other action to implement the corporate governance and disclosure provisions of the Dodd-Frank Wall Street...more

A New World Order: What Your Board Should Know About Proxy Access

Introduction After considering proxy access for 30 years, the Securities and Exchange Commission (the “SEC”) on August 25, 2010 voted 3-2 to adopt a proxy access rule (the “proxy access rule”). The rule was published in...more

Dodd-Frank Act Creates Significant Changes in Bankruptcy Law Affecting Derivatives and Other Trading Counterparties

After months of negotiations and conferences among key legislators, President Obama signed into law a final version of regulatory reform legislation on July 21, 2010. More than 2,000 pages long, the “Dodd-Frank Wall Street...more

The Regulatory March to Reform Executive Compensation Practices Takes Another Step Forward

On July 21, 2010, the President signed into law (Public Law 111-203) the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Reform Act"). The Reform Act implements a sweeping regulatory overhaul of the financial,...more

It’s Signed, Now for the Hard Part: What your Board Needs to Know About Corporate Governance and Executive Compensation Provisions...

The wait for financial regulatory reform legislation is over. President Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd Frank Act) into law on July 21, 2010. The Dodd Frank Act, while...more

Securities Alert: Financial Reform Bill is Signed by President Obama

On July 21, 2010, after months of debate and controversy, President Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”) into law. This Client Alert focuses on the aspects of the Act that...more

28 Results
|
View per page
Page: of 2

Follow Securities Updates on: