Securities Consumer Protection Administrative Agency

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The Results Are In: Investors Favor Additional Regulatory Protection

On November 6, 2014, FINRA released results from a survey of U.S. investors measuring the demand for additional regulatory protections. The survey polled 1,000 adults and revealed that an overwhelming majority felt that it...more

SEC Charges Recidivist Adviser, Co-Founders With Violations of Custody Rule

The SEC has brought a number of custody rule cases as part of its broken windows initiative. Its newest proceeding centered on the custody rule, however, is a contested administrative proceeding which names as Respondents an...more

SEC Cybersecurity Initiative: Five Steps ALL Broker-Dealers and Investment Advisers Should be Taking

Last week, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert announcing its Cybersecurity Initiative....more

Circuit Court Largely Rejects Challenges To SEC Conflict Mineral Rules

The SEC largely prevailed in the D.C. Circuit Court of Appeals in a suit changing the Rules promulgated by the agency under Dodd-Frank regarding conflict minerals. National Association of Manufacturers v. SEC, No.. 13-5252...more

SEC v. Douglas F. Vaughan, The Vaughan Company, Realtors, Inc., and Vaughan Capital, LLC, United States District Court for the District of New Mexico, Civil Action No. 1:10-cv-00263-MCA-WPL

Realtor charged in investment ponzi scheme

For thouse of you with losses in real esate investmetns it may be of interest to note the SEC is taking an interest. The Securities and Exchange Commission yesterday filed fraud charges against a prominent New Mexico...more

The End of Unlimited FDIC Insurance: How Banks Can Retain—and Depositors Can Protect—Their Uninsured Deposits

In an attempt to limit the flight of deposits from insured depository institutions resulting from the 2008 fiscal crisis, Section 343 of the Dodd-Frank Wall Street Reform and Consumer Protection Act provided temporary,...more

Dodd-Frank Implementation: Navigating the Road Ahead

Table of Contents: Introduction; Financial Stability Reform; Resolution Planning; Agencies and Agency Oversight Reform; Securitization Reform; Derivatives Regulation; Investor Protection Reform; Credit Rating Agency...more

No-Action Relief Granted with Respect to Classification of Certain Persons as Owners of Broker-Dealers for Purposes of the Net...

On December 10, 2012, the Securities and Exchange Commission granted no-action relief in a situation in which a broker-dealer classifies: a person (in one or more classes of ownership of the broker-dealer) as an owner of the...more

Pennsylvania Enacts Changes to Banking Laws

Significant changes to Pennsylvania banking laws will take effect on December 24, 2012, as a result of three bills, known as the “Banking Law Modernization Package,” signed into law by Governor Tom Corbett....more

CFTC Issues Required Clearing Determination for Certain Credit Default and Interest Rate Swaps

In its first mandatory clearing determination, as required by the Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act), the Commodity Futures Trading Commission has determined that certain types of credit...more

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - November 23, 2012

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

NFA Launches FCM Financial Information Platform

The National Futures Association (NFA) has launched a new service that allows the public to obtain relevant information about any member futures commission merchant (FCM) more easily. NFA’s Background Affiliation Status...more

CFTC Proposes Rules to Enhance Protections for Customer Funds

The Commodity Futures Trading Commission published proposed rules that are designed to increase protections for customers and customer funds held by futures commission merchants (FCMs) and derivatives clearing organizations...more

New Rules for Remittance Transfer Providers

Money transfers sent abroad from inside the U.S., known as remittances, total in the tens of billions of dollars each year, according to the Consumer Financial Protection Bureau ("CFPB"). Beginning in January 2013, the CFPB,...more

Dodd-Frank Considerations for End-Users of Derivatives

More than two years after the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”), regulations under Title VII of that legislation have reached a sufficiently advanced point that...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

SEC Issues Final Rule on Extractive Industry Transparency

On August 22, the Securities and Exchange Commission ("SEC") voted two to one in favor of a final rule implementing Section 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Commissioners Schapiro and...more

Qualified Mortgage Rule Emerges as Critical Issue in Restructuring of Residential Mortgage Market Regulation

The Consumer Financial Protection Bureau (the “CFPB”) is currently charged with defining a “Qualified Mortgage” (a “QM”). The federal banking agencies, the SEC, the FHFA and the Department of HUD are jointly charged with...more

Financial Services Legislative And Regulatory Update -- July 30, 2012

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; Miscellaneous; and Upcoming Hearings. Excerpt from Leading the Past Week - With many of the world’s eyes turning to London this...more

InfoBytes, July 27, 2012 - A Weekly In-depth review of news & developments in the financial services industry.

Topics In This Issue: Mortgages; Banking; Consumer Finance; Securities; E-Commerce; and Privacy/Data Security. Excerpt From Federal Issues: CFPB Releases Report on Private Student Loans, Testifies in Senate.On...more

Financial Services Legislative And Regulatory Update -- July 16, 2012

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week Last week provided an excellent frame by which to view the current political...more

Revised OCC Lending Limits Apply to Broader Array of Credit Exposures

The Office of the Comptroller of the Currency has issued an interim final rule on lending limits that applies not only to national banks but to thrift institutions as well. Section 610 of the Dodd-Frank Wall Street...more

Financial Services Legislative And Regulatory Update -- June 18, 2012

In This Issue: Leading The Week; Legislative Branch; Executive Branch; International; Miscellaneous; and Upcoming Hearings. Excerpt from Leading the Past Week The theme of this past week once again, was...more

CFPB seeks information on senior financial abuse

One of the CFPB’s most worthwhile Dodd-Frank mandates is to help older Americans avoid financial exploitation. In addition to developing programs to provide financial literacy and counseling to seniors, the CFPB is...more

Financial Services Legislative And Regulatory Update -- June 11, 2012

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; Miscellaneous; and Upcoming Hearings. Excerpt from Leading the Past Week On Sunday, Spain announced that it would be seeking a bailout...more

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