Enforcement, Enforcement Actions

A Compilation of Enforcement and Non-Enforcement Actions - May 01, 2013

by Michael G. Dana, Peter D. Fetzer, Terry D. Nelson | Foley & Lardner LLP on 5/1/2013

* Non-Enforcement Matters: - Legislation Reintroduced to Charge Investment Advisor User Fees - SEC Examination Program for Newly Registered Investment Advisers Reveals Common Areas of Concern - Recent...more

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - April 26, 2013

by BuckleySandler LLP on 4/29/2013

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

SEC Charges Indian Firms with Acting as Unregistered Broker-Dealers

by Christopher Poe, David Smyth | Brooks Pierce on 1/8/2013

On November 27th, the SEC charged four Indian financial services firms with acting as unregistered broker-dealers in the United States....more

Three-Year Waiting Period for SVEP Removal

by Tressi L. Cordaro | Ogletree, Deakins, Nash, Smoak & Stewart,... on 10/1/2012

In August 2012, the Occupational Safety & Health Administration (OSHA) issued a memorandum to all regional administrators within the agency setting out criteria for removing employers from the Severe Violator Enforcement...more

Major Changes At The EEOC Could Mean Major Liability For Employers

by Heidi K. Doescher, Steven W. Moore | Ogletree, Deakins, Nash, Smoak & Stewart,... on 7/31/2012

The Equal Employment Opportunity Commission’s (EEOC) investigation and litigation tactics have been a hot topic lately, as the agency recently announced its plan to target more employers in bigger, more costly systemic...more

Your Federal Government is Here to Help—Anatomy of a DOL Audit

by Kevin P. Hishta, Alfred B. Robinson, Jr. | Ogletree, Deakins, Nash, Smoak & Stewart,... on 7/18/2012

Under the Obama administration, the Wage and Hour Division (WHD) of the U.S. Department of Labor (DOL) has become re-energized and is the most active it has been for many years. While the WHD still lacks a permanent...more

“Regulation by Shaming”—What is the Impact on the Economy? (Part 1)

by Melissa A. Bailey | Ogletree, Deakins, Nash, Smoak & Stewart,... on 7/18/2012

The long, hot pre-election season is in full swing in Washington, D.C., and to state the obvious, the economy is front and center. As a result, members of both parties have been talking about how burdensome regulations hurt...more

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Enforcement › Enforcement Actions