News & Analysis as of

Investment Management Update: The Latest News and Developments on Funds, Regulations and Investing Trends for January 2015

In This Presentation: - Personnel Changes - Insider Trading - Pay to play prohibitions under fire - F Squared – Administrative proceeding (December 22, 2014) - Reliance Financial Advisors --...more

SEC Names New Chief Counsel in Trading and Markets

On February 11, the SEC named Heather Seidel as Chief Counsel of the Division of Trading and Markets, effective immediately. Seidel will oversee the Office of Chief Counsel, which provides legal and policy advice to the...more

Financial Regulatory Developments Focus - December 2014 #2

In this issue: - Bank Prudential Regulation & Regulatory Capital - Bank Structure - Derivatives - Financial Market Infrastructure - Financial Services - People - Events...more

Orrick's Financial Industry Week in Review

Bank of America and Merrill Lynch Settle RMBS Lawsuit with FDIC - On November 17, Bank of America and Merrill Lynch settled securities claims brought by the FDIC related to RMBS sold to United Western Bank. The FDIC,...more

SEC Appoints Marc Wyatt As Deputy Director Of National Exam Program

On October 20, the SEC appointed Marc Wyatt as the Deputy Director of the agency’s Office of Compliance and Inspection Examinations (OCIE). In September 2012, Wyatt joined the SEC as a senior specialized examiner with a...more

SEC Chairman Names Chief Counsel

On June 3, the SEC Chairman Mary Jo White appointed Robert E. Rice as Chief Counsel....more

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - February 1, 2013

In This Issue: - FEDERAL ISSUES - STATE ISSUES - COURTS - FIRM NEWS - FIRM PUBLICATIONS - MORTGAGES - BANKING - CONSUMER FINANCE - SECURITIES - CREDIT CARDS - E-COMMERCE - PRIVACY/DATA SECURITY -...more

SEC Names Acting Enforcement Director

On January 31, the SEC announced that George Canellos will serve as Acting Director for the Division of Enforcement. Mr. Canellos currently is the Deputy Director of that division, and effective February 8, 2013, will fill...more

President Obama Re-nominates Richard Cordray For CFPB Director, Nominates Mary Jo White For SEC Chair

On January 24, President Obama announced his re-nomination of current CFPB Director Richard Cordray. Mr. Cordray has led the Bureau since January 2012 when President Obama used his recess appointment authority to install the...more

Mary Jo White as SEC Chairman

President Obama's recent naming of Mary Jo White to be Chairman of the SEC has been greeted with praise from almost all quarters. But because she is best known for her highly successful tenure as a federal prosecutor, in...more

Federal Agencies Announces Numerous Appointments

SEC Names Office of Market Intelligence Chief. On January 22, the SEC announced that Vincente Martinez will serve as the head of the Office of Market Intelligence, a unit of the Enforcement Division that collects and...more

SEC Announces Departure Of Enforcement Director, Names New General Counsel And Chief Accountant

On January 9, the SEC announced that its Enforcement Director, Robert Khuzami, is leaving the agency. Mr. Khuzami was appointed to the position in February 2009. The SEC press release credits him with, among other things,...more

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