In this issue:

- SEC Advisory Committee on Small and Emerging Companies Makes Recommendations

- SEC Provides Guidance Regarding Social Media and Regulation Fair Disclosure (Regulation FD)

- SEC Amends Filing Requirements for Dually Registered Clearing Agencies

- SEC Extends Compliance Date for Certain Large Trader Requirements

- Federal Reserve Board Approves Final “Predominately Engaged in Financial Activities” Rule

- CFTC Approves Clearing Exemption for Inter-Affiliate Swaps

- CFTC Issues Rule Regarding Persons Associated with Multiple Swap Dealers or Major Swap Participants

- CFTC Staff Issues No-Action Letters

- Southern District Rejects Evidence from “Confidential Witnesses” as Basis for Securities Class Action

- Court Dismisses Securities Class Action Alleging Misrepresentations About “Cannibalization”

- Attacks on Proxy Statement Compensation Disclosure

- FDIC Announces Availability of Educational Videos

- CFPB Releases Public Complaint Database

- Thomas J. Curry Named FFIEC Chairman

- Federal Reserve Board Approves Final “Predominately Engaged in Financial Activities” Rule

- US Supreme Court’s Impending Decision on DOMA May Impact Most Employee Benefit Plans

- Excerpt from CFPB Releases Public Complaint Database:

On March 28, the Bureau of Consumer Financial Protection (CFPB) announced the release of a public database of federal consumer financial complaints with information on more than 90,000 individual complaints on financial products and services. The release “expands significantly from about 19,000 credit card complaints to more than 90,000 complaints on mortgages, student loans, bank accounts and services, other consumer loans, and credit cards. In many cases, it includes the sub-category of products. For example, for mortgages it includes reverse mortgages, conventional fixed mortgages, conventional adjustable mortgages, and home equity loans or lines of credit.”

Please see full newsletter below for more information.

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Written by:

Published In:

SEC

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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