Securities Law, Finance & Banking, Election & Politics Law

Senator Warren Pushes Federal Authorities On Bank Prosecutions

by BuckleySandler LLP on 5/24/2013

On May 14, Senator Elizabeth Warren (D-MA) sent a letter to Federal Reserve Board Chairman Ben Bernanke, Attorney General Eric Holder, and SEC Chairman Mary Jo White seeking additional information about the agencies’...more

Financial Services Legislative and Regulatory Update -- May 20‚ 2013

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 5/20/2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - The conflation of three scandals clearly tainted President Obama...more

Financial Services Legislative and Regulatory Update -- May 13‚ 2013

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 5/13/2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - What had been a relatively quiet week, where until Friday it seemed...more

Harrisburg Charged With Securities Fraud - Securities and Exchange Commission Says City Made Misleading Financial Statements

by Kimberly Byrens | Best Best & Krieger LLP on 5/10/2013

The inclusion of the public statements of an elected official in allegations of securities fraud could change the traditional relationship between the politicians and their constituency versus issuers and the bond market....more

Greenberger: Derivatives Legislation Would Seriously Weaken Dodd-Frank [Video]

by Bloomberg Law on 5/10/2013

May 10 (Bloomberg Law) -- Michael Greenberger, a professor at the University of Maryland School of Law, tells Bloomberg Law's Lee Pacchia that a new set of legislation making its way through the House of Representatives could...more

Bill on Bankruptcy: Lehman Test Case on Judicial Nullification [Video]

by Bloomberg Law on 5/7/2013

May 9 (Bloomberg) -- Although Lehman Brothers Holdings Inc. is out of bankruptcy a year, the case continues to make law. As Bloomberg Law's Lee Pacchia and Bloomberg News bankruptcy columnist Bill Rochelle discuss on their...more

S&C's Cohen: Brown-Vitter Punishes Banks For Being Big [Video]

by Bloomberg Law on 5/3/2013

May 3 (Bloomberg Law) -- Rodge Cohen, partner at Sullivan & Cromwell who represents the nation's largest banks, talks with Bloomberg Law's Lee Pacchia about the concept of Too Big To Fail and a recent proposal from Senators...more

Financial Services Legislative and Regulatory Update -- April 29‚ 2013

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 5/1/2013

In This Issue: Leading the Past Week; Legislative Branch; and Executive Branch. Excerpt from Leading the Past Week - The past week could be best described by one word. Chaos. In the House, a scheduled...more

Bill Seeks to Strip Securities Regulator of Power to Deny New Branch Offices to Broker-Dealers and Investment Advisers

by R. Michael Underwood | Fowler White Boggs P.A. on 5/1/2013

A hallmark of Florida's notoriously strict regulation of investment professions may soon be no more. Florida is one of only eight jurisdictions in the United States that require securities broker-dealers and investment...more

Legislative Update Report No. 2013-08 -- Apr 26, 2013

by Osler, Hoskin & Harcourt LLP on 4/26/2013

In This Issue: Federal Government; Alberta; British Columbia; Manitoba; New Brunswick; Newfoundland; Northwest Territories; Nova Scotia; Nunavut; Ontario; Prince Edward Island; Québec/Quebec; Saskatchewan; and Yukon....more

Financial Services Legislative and Regulatory Update -- April 22, 2013

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 4/22/2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - It was another incredibly busy week, but obviously our thoughts and...more

Wall Street Sales Tax Reintroduced on Capitol Hill: Likely a Significant Impact on Private Investment Funds

by David Sussman | Duane Morris LLP on 4/19/2013

On April 17, 2013, U.S. Rep. Keith Ellison (D-Minn.) reintroduced the Inclusive Prosperity Act of 2013 (H.R. 1579) (the "Bill"), a financial transaction tax that, according to its supporters, would provide the federal...more

Financial Services Legislative and Regulatory Update -- April 15, 2013

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 4/16/2013

In This Issue: Leading the Past Week; Budget Summary; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - Congress returned from a two-week recess and the...more

D.C. Developments on the Cybersecurity Front – UPDATE

by Cynthia Larose, Heidi A. Lawson | Mintz Levin - Privacy & Security on 4/12/2013

UPDATE: The House Permanent Select Committee on Intelligence passed the Cyber Intelligence Sharing and Protection Act (CISPA) this afternoon. The vote was 18 in favor and two (Adam Schiff (D-CA) and Jan Schakowsky (D-IL))...more

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

Changes To Proposed Investment Adviser Legislation

by David Jenson | Leonard, Street and Deinard - Dodd-Frank and... on 4/1/2013

We previously reported that there was proposed legislation making its way through the Minnesota legislature that contained a number of amendments to the securities laws relating to investment advisers and applying a new layer...more

Senate Banking Committee Approves Nominees For Top CFPB, SEC Spots

by BuckleySandler LLP on 3/27/2013

On March 19, the Senate Banking Committee approved Mary Jo White to serve as SEC Commissioner/Chair through June 2014, and Richard Cordray to serve a five-year term as CFPB Director. The vote on Ms. White was 20-1. Senator...more

Financial Services Legislative And Regulatory Update -- March 25‚ 2013

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 3/26/2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - Members rushed out of town at the end of last week for a two-week...more

Bill on Bankruptcy: Why is Kodak's Stock Soaring? [Video]

by Bloomberg Law on 3/20/2013

March 20 (Bloomberg Law) -- Although Eastman Kodak Co. stock shot up like a rocket in a week's time, investors might not have the same profitable outcome like owners of American Airlines shares, as Bloomberg Law's Lee Pacchia...more

Mary Jo White, Nominee for Chair of the SEC, Appears Before Senate Banking Committee

by Jonathan Weiner, Mark Wood | Katten Muchin Rosenman LLP on 3/19/2013

On March 12, Mary Jo White, President Obama’s nominee to chair the Securities and Exchange Commission, appeared at her confirmation hearing before the US Senate Committee on Banking, Housing and Urban Affairs....more

Consumer Financial Protection Bureau Remains In Limbo

by Lloyd B. Chinn, Harris M. Mufson, Steven J. Pearlman | Proskauer - Whistleblowing & Retaliation on 3/19/2013

The authority and leadership of the Consumer Financial Protection Bureau (CFPB), a body created by Dodd-Frank to regulate consumer protection of financial products and services, continues to remain in limbo in the wake of the...more

Financial Services Legislative And Regulatory Update -- March 18‚ 2013

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 3/18/2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Leading the Past Week - It was another busy week on the Hill and in the Administration, but it may have...more

Ritholtz: Insurance Regulators Should Oversee Derivatives [Video]

by Bloomberg Law on 3/14/2013

March 13 (Bloomberg Law) -- Barry Ritholtz, CEO at Fusion IQ, and Tangent Capital Partners' Bob Rice talk with Bloomberg Law's Lee Pacchia about the current state of the derivatives market and a recent initiative by ISDA to...more

Financial Services Legislative And Regulatory Update -- March 11‚ 2013

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 3/11/2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - As the first full week of the Federal government’s sequestration comes to a...more

If You're Not At the Table, You're On the Menu: Ways and Means Working Groups Solicit Input on Tax Reform

by Mary Burke Baker, Michael W. Evans, Andrés Gil, Karishma Shah Page, Ryan J. Severson | K&L Gates LLP on 3/8/2013

Comprehensive tax reform is the top priority of the congressional tax-writing committees this year. In continuation of several years of work on this issue, the House Ways and Means Committee recently unveiled the next stage...more

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Securities Law › Finance & Banking › Election & Politics Law

Senator Warren Pushes Federal Authorities On Bank Prosecutions

Financial Services Legislative and Regulatory Update -- May 20‚ 2013

Financial Services Legislative and Regulatory Update -- May 13‚ 2013

Harrisburg Charged With Securities Fraud - Securities and Exchange Commission Says City Made Misleading Financial Statements

Greenberger: Derivatives Legislation Would Seriously Weaken Dodd-Frank [Video]

Bill on Bankruptcy: Lehman Test Case on Judicial Nullification [Video]

S&C's Cohen: Brown-Vitter Punishes Banks For Being Big [Video]

Financial Services Legislative and Regulatory Update -- April 29‚ 2013

Bill Seeks to Strip Securities Regulator of Power to Deny New Branch Offices to Broker-Dealers and Investment Advisers

Legislative Update Report No. 2013-08 -- Apr 26, 2013

Financial Services Legislative and Regulatory Update -- April 22, 2013

Wall Street Sales Tax Reintroduced on Capitol Hill: Likely a Significant Impact on Private Investment Funds

Financial Services Legislative and Regulatory Update -- April 15, 2013

D.C. Developments on the Cybersecurity Front – UPDATE

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

Changes To Proposed Investment Adviser Legislation

Senate Banking Committee Approves Nominees For Top CFPB, SEC Spots

Financial Services Legislative And Regulatory Update -- March 25‚ 2013

Bill on Bankruptcy: Why is Kodak's Stock Soaring? [Video]

Mary Jo White, Nominee for Chair of the SEC, Appears Before Senate Banking Committee

Consumer Financial Protection Bureau Remains In Limbo

Financial Services Legislative And Regulatory Update -- March 18‚ 2013

Ritholtz: Insurance Regulators Should Oversee Derivatives [Video]

Financial Services Legislative And Regulatory Update -- March 11‚ 2013

If You're Not At the Table, You're On the Menu: Ways and Means Working Groups Solicit Input on Tax Reform

Greenberger: Derivatives Legislation Would Seriously Weaken Dodd-Frank [Video]

Bill on Bankruptcy: Lehman Test Case on Judicial Nullification [Video]

S&C's Cohen: Brown-Vitter Punishes Banks For Being Big [Video]

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

Bill on Bankruptcy: Why is Kodak's Stock Soaring? [Video]

Ritholtz: Insurance Regulators Should Oversee Derivatives [Video]

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