Securities Law, Election & Politics Law, Administrative Law

Konczal: Dodd-Frank Reforms Get Roughed Up in Court [Video]

by Bloomberg Law on 4/11/2013

April 11 (Bloomberg Law) -- Mike Konczal, fellow at the Roosevelt Institute and contributor to Bloomberg View, talks with Bloomberg Law's Lee Pacchia about how the implementation of the financial reform laws in Dodd-Frank...more

Should Wall Street Fear Mary Jo White? [Video]

by Bloomberg Law on 2/1/2013

Feb. 1 (Bloomberg Law) -- Mary Jo White has spent decades as both a federal prosecutor and later as outside counsel for many financial institutions. If the Senate confirms her as SEC chair, will Wall Street be facing a lawyer...more

SEC Includes Disclosure Of Corporate Political Spending Rule In Unified Agenda – What Does It Mean?

by Keith Paul Bishop | Allen Matkins Leck Gamble Mallory & Natsis... on 1/10/2013

On August 3, 2011, a group of leading academics, including Harvard Law School Professor Lucian A. Bebchuk, submitted this petition for rulemaking to the Securities and Exchange Commission. The petitioners asked the SEC to...more

Detroit's "Fiscal Cliff" and Michigan's Response

by William W. Kannel, Adrienne Walker | Mintz Levin - Public Finance on 12/15/2012

Detroit’s increasingly distressed financial condition has created a dynamic and rapidly evolving situation where the potential of a Chapter 9 filing appears to be the subject of renewed discussion and legislative attention. ...more

CFTC Chief Asks Congress For More Money Amid Fiscal Cliff Talks

by Elan Mendel | Shipkevich PLLC on 12/13/2012

U.S. Commodity Futures Trading Commission (CFTC) chairman Gary Gensler went before Congress on Wednesday to outline the CFTC’s achievements and to make a case for more funding....more

Barney Frank Takes Advantage of GOP Confusion Over SEC-CFTC Merger

by Felix Shipkevich | Shipkevich PLLC on 12/3/2012

Two weeks ago we wrote about the growing call for an SEC-CFTC merger from both sides of the aisle. Now, Barney Frank is making one last push for the merger before his upcoming retirement....more

CFTC Position Limits Update: GOP Taps Hensarling, Won’t Change Tune

by Felix Shipkevich | Shipkevich PLLC on 11/28/2012

The U.S. Commodity and Futures Trading Commission (CFTC) will likely be at odds with new GOP Financial Services Committee head, Jeb Hensarling. Hensarling previously served as committee Vice Chairman under Spencer Bachus, who...more

ISS Releases 2013 Voting Policy Updates: Two Key Changes on Director Voting Recommendations

by Craig D. Miller | Manatt, Phelps & Phillips, LLP on 11/21/2012

On November 16, 2012, Institutional Shareholder Services ("ISS") released its 2013 "Corporate Governance Policy Updates and Process," which will be used in its proxy voting recommendations for this upcoming annual meeting...more

Financial Services Legislative And Regulatory Update -- November 19, 2012

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 11/19/2012

In This Issue: Leading the Past Week; House of Representatives; CFPB; SEC; CFTC; OCC; DOL; International; and Upcoming Hearings. Excerpt from Leading the Past Week Now that the election is behind us (for...more

Can Congress Veto A Rule Adopted By The SEC?

by Keith Paul Bishop | Allen Matkins Leck Gamble Mallory & Natsis... on 11/19/2012

The Small Business Regulatory Enforcement Fairness Act of 1996, P.L. 104-121, March 29, 1996, provides that before a federal agency rule may take effect, the agency must submit to each house of the Congress and to the...more

President Barack Obama’s Win Also a Win for the SEC and the CFTC

by Kristen Bartlett, George E. Greer, Lindsay Pennington | Orrick - Securities Litigation and Regulatory... on 11/14/2012

The U.S. Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) can breathe a little easier after President Barak Obama’s re-election on Tuesday, November 6, 2012, according to legal...more

Slow Down or Speed Up?: Dodd-Frank, CFTC, SEC After Election

by Shipkevich PLLC on 11/8/2012

Now that Obama has won re-election, it remains to be seen whether the Commodity and Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) will slow down or speed up their implementation of...more

CFTC Post-Election Update: New Schedule Extends through June 2013

by Shipkevich PLLC on 11/8/2012

U.S. Commodity and Futures Trading Commission (CFTC) member Bart Chilton has released a schedule that details the CFTC’s regulatory calendar from November 15, 2012 to June 2013....more

Pay-to-Play: Recent SEC Actions Highlight Importance of Compliance Controls

by Dechert LLP on 11/7/2012

I. Overview - Two recent actions by the U.S. Securities and Exchange Commission (“SEC”) and its staff highlight the importance of compliance controls with respect to political contributions and other political activities. In...more

Financial Services Legislative And Regulatory Update -- October 29, 2012

by Mintz Levin - Public Finance on 10/30/2012

Kn This Issue: Leading the Past Week; Fiscal Cliff; Legislative Branch; Executive Branch; and Miscellaneous. Excerpt from Leading the Past Week - With less than two weeks remaining until the November 6th...more

Four Horsemen: Republicans Challenge CFTC on Position Limits

by Shipkevich PLLC on 10/11/2012

Four Republican congressmen have written a letter to the CFTC challenging its controversial position limits regulation. The letter was signed by House Financial Services Committee Chairman Spencer Bachus, Vice Chairman Jeb...more

Financial Services Legislative And Regulatory Update -- October 8, 2012

by Mintz Levin - Public Finance on 10/10/2012

In This Issue: Leading the Past Week; Fiscal Cliff; Legislative Branch; Executive Branch; International; and Miscellaneous. Excerpt from Leading the Past Week - With Congress out of session and official...more

A Bad Bill Becomes Law When There Is More Interest In Enacting A Fix Than Fixing the Problem

by Allen Matkins Leck Gamble Mallory & Natsis... on 9/28/2012

In 2002, the Legislature enacted AB 55 creating the victims of corporate fraud fund. Since the fund was created, it has collected about $15 million and nearly 800 claims have been submitted. In a devastating article...more

State AGs join lawsuit challenging constitutionality of CFPB

by Ballard Spahr LLP on 9/25/2012

Republican state Attorneys General from Oklahoma, South Carolina and Michigan have now joined the lawsuit that was filed this past June in federal court in Washington, D.C. challenging the constitutionality of Dodd-Frank....more

Financial Services Legislative And Regulatory Update -- September 24, 2012

by Mintz Levin - Public Finance on 9/25/2012

In This Issue: Leading the Past Week; Fiscal Cliff; Legislative Branch; House of Representatives; Executive Branch; and International. Excerpt from Leading the Past Week As quick as members returned from their...more

SEC Report to Congress on Credit Rating Standardization

by Leonard, Street and Deinard - Dodd-Frank and... on 9/18/2012

The SEC staff has issued a report to Congress on credit rating standardization required by Section 939(h)(1) of the Dodd-Frank Act. The SEC staff recommended that the SEC not take any further action at this time with respect...more

Bill Aims to Increase White House Oversight of Financial Regulators

by Shipkevich PLLC on 9/11/2012

Lawmakers are pushing a bill that would greatly weaken the autonomy and influence of regulators such as the Commodity Futures Trading Commission and the Securities and Exchange Commission. The bill, which is set to go before...more

SEC Risk Alert on Pay-to-Play and MSRB

by Orrick - Structured Finance Group on 9/10/2012

On August 31, the SEC issued an alert on compliance with MSRB Rule G-37, which limits political contributions by municipal securities professionals to campaigns of public officials of issuers with whom they are doing or seek...more

SEC Asks Congress For Increased Authority To Regulate Muni Bond Market

by Orrick - Securities Litigation and Regulatory... on 8/8/2012

In its recently-released Report on the Municipal Securities Market, the Securities and Exchange Commission asked Congress to increase the SEC’s authority to regulate the municipal securities market, which it described as...more

Financial Services Legislative And Regulatory Update -- August 6, 2012

by Mintz Levin - Public Finance on 8/7/2012

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; Miscellaneous; International; and Upcoming Hearings. Excerpt from Leading the Past Week - Members of Congress left town at the end of...more

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Securities Law › Election & Politics Law › Administrative Law

Konczal: Dodd-Frank Reforms Get Roughed Up in Court [Video]

Should Wall Street Fear Mary Jo White? [Video]

SEC Includes Disclosure Of Corporate Political Spending Rule In Unified Agenda – What Does It Mean?

Detroit's "Fiscal Cliff" and Michigan's Response

CFTC Chief Asks Congress For More Money Amid Fiscal Cliff Talks

Barney Frank Takes Advantage of GOP Confusion Over SEC-CFTC Merger

CFTC Position Limits Update: GOP Taps Hensarling, Won’t Change Tune

ISS Releases 2013 Voting Policy Updates: Two Key Changes on Director Voting Recommendations

Financial Services Legislative And Regulatory Update -- November 19, 2012

Can Congress Veto A Rule Adopted By The SEC?

President Barack Obama’s Win Also a Win for the SEC and the CFTC

Slow Down or Speed Up?: Dodd-Frank, CFTC, SEC After Election

CFTC Post-Election Update: New Schedule Extends through June 2013

Pay-to-Play: Recent SEC Actions Highlight Importance of Compliance Controls

Financial Services Legislative And Regulatory Update -- October 29, 2012

Four Horsemen: Republicans Challenge CFTC on Position Limits

Financial Services Legislative And Regulatory Update -- October 8, 2012

A Bad Bill Becomes Law When There Is More Interest In Enacting A Fix Than Fixing the Problem

State AGs join lawsuit challenging constitutionality of CFPB

Financial Services Legislative And Regulatory Update -- September 24, 2012

SEC Report to Congress on Credit Rating Standardization

Bill Aims to Increase White House Oversight of Financial Regulators

SEC Risk Alert on Pay-to-Play and MSRB

SEC Asks Congress For Increased Authority To Regulate Muni Bond Market

Financial Services Legislative And Regulatory Update -- August 6, 2012

Konczal: Dodd-Frank Reforms Get Roughed Up in Court [Video]

Should Wall Street Fear Mary Jo White? [Video]

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