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Goodwin

SEC and DOL Reach $21 Million Settlement with Adviser Over Alleged Failure to Disclose and Correct Trading Errors and Improper...

Goodwin on

The Securities and Exchange Commission (the “SEC”) and Department of Labor (“DOL”) reached settlements with Western Asset Management (the “Adviser”), a registered investment adviser and subsidiary of Legg Mason Inc., under...more

Mintz - Public Finance Viewpoints

Financial Services Legislative and Regulatory Update -- July 22, 2013

Mintz - Public Finance Viewpoints on

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; International; Miscellaneous; and Upcoming Hearings. Excerpt from Leading the Past Week - Yesterday marked the 3rd Anniversary...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week in Review - January 7, 2013

Orrick, Herrington & Sutcliffe LLP on

In This Issue: *Financial Industry Developments - OCC Guidance on Transition Periods under Section 716 of the Dodd-Frank Act - CFTC Reporting of Swap Transactions and Swap Dealer Registration - Department...more

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