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Referral Fees Securities and Exchange Commission (SEC)

Goodwin

CFPB Advises Manipulating Search Results on Comparison-Shopping Platforms May Violate RESPA

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CFPB Advises Manipulating Search Results on Comparison-Shopping Platforms May Violate RESPA - On February 7, the CFPB issued an advisory opinion, accompanied by a statement from CFPB Director Rohit Chopra, clarifying that...more

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: May 1, 2022

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more

Foley & Lardner LLP

CFPB Director Cordray Issues First-Ever Agency Appellate Decision in RESPA Case

Foley & Lardner LLP on

The Director of the Federal Consumer Financial Protection Bureau (CFPB), Richard Cordray, issued a decision yesterday in the first appeal of a Bureau administrative enforcement action. Cordray’s decision upholds in part,...more

Morrison & Foerster LLP

Investment Management Legal + Regulatory Update -- December 2014

Morrison & Foerster LLP on

In This Issue: - Regulation ..SEC Chair’s Agenda Provides Glimpse of New Rules to Come ..The Results Are In: Investors Favor Additional Regulatory Protection ..SEC Declines to Approve Non-Transparent ETFs ...more

Morrison & Foerster LLP

Referral Fees and Commission Sharing - When May Broker-Dealers Share Their Fees with Non-Brokers?

Morrison & Foerster LLP on

FINRA recently filed proposed rule changes with the SEC addressing when broker-dealers may pay referral fees or otherwise share compensation with persons who are not registered as broker-dealers. The proposed rule changes are...more

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