SIFMA

Enforcement Heads Reveal All at SIFMA Annual Seminar

by Daniel A. Nathan | Morrison & Foerster LLP on 3/25/2013

The federal budget sequester and recent Supreme Court decision in Gabelli et al. v. Securities and Exchange Commission, 568 U.S. ____ (2013), will not substantially slow down regulators’ enforcement efforts, according to...more

FINRA Offers Regulatory Road Map for 2013

by Christopher Gallagher, Richard Levin, David Rice | BakerHostetler on 2/7/2013

On January 11, 2013, the Financial Industry Regulatory Authority (FINRA) issued its annual Regulatory and Examination Priorities Letter (Priorities Letter) to member firms, which highlights its primary areas of focus for the...more

New State Laws Prohibit Employers and Academic Institutions from Requesting Usernames and Passwords to Monitor Social Media...

by Ropes & Gray LLP on 1/23/2013

An increasing number of states are passing laws that prohibit employers and academic institutions from requesting or requiring employees, job applicants, students, and prospective students to turn over their social media...more

SEC Extends No-Action Letter Permitting Broker-Dealers to Rely on Certain Investment Advisers to Conduct Customer Identification...

by Janet M. Angstadt, Avi Badash | Katten Muchin Rosenman LLP on 1/22/2013

The Securities and Exchange Commission has extended a no-action letter dated February 12, 2004 (the 2004 Letter) from the Securities Industry Financial Markets Association (SIFMA) that permits broker-dealers, subject to...more

Orrick's Financial Industry Week in Review - December 3, 2012

by Orrick, Herrington & Sutcliffe LLP on 12/6/2012

In This Issue: - Financial Industry Developments · CFTC Final Rule on Clearing of Credit Default Swaps and Interest Rate Swaps · Fed, Treasury Proposed Amendments to Bank Secrecy Act Definitions...more

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Enforcement Heads Reveal All at SIFMA Annual Seminar

FINRA Offers Regulatory Road Map for 2013

New State Laws Prohibit Employers and Academic Institutions from Requesting Usernames and Passwords to Monitor Social Media...

SEC Extends No-Action Letter Permitting Broker-Dealers to Rely on Certain Investment Advisers to Conduct Customer Identification...

Orrick's Financial Industry Week in Review - December 3, 2012

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