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The SEC Refocuses on Retail Investors

The Financial Industry Regulatory Authority and the states traditionally have handled the bulk of retail brokerage investigations, such as the suitability of a retail broker’s investment recommendations or alleged excessive trading… more

Financial Services Weekly News - December 2017 #2

Editor's Note - Attack of the State AGs. On December 12, New York Attorney General Eric T. Schneiderman and 16 other state attorneys general (State AGs) sent a letter to President Trump arguing that past statements by Mick Mulvaney… more

Energy Newsletter - December 2017

Environmental Citizen Suits—A Growing Trend Under the Trump Administration - In his first year in office, President Trump has begun to deliver on his campaign promise of rolling back environmental regulations—from the waters of the… more

Life After LIBOR

After a long and at times scandalous life, LIBOR is retiring. Earlier this year, Andrew Bailey, chief executive officer of the United Kingdom’s Financial Conduct Authority (FCA), the regulator of the London Interbank Offered Rate… more

100-Day Pilot Program Proceedings Remain Rare

In two recent orders, the Commission denied respondents’ requests for entry into its Early Disposition Pilot Program (100-day Pilot Program). It has now been over two years since the ITC issued its proposed rulemaking for the program… more

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