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Real Estate Settlement Procedures Act Shareholders

Goodwin

Financial Services Weekly News: SEC Amends FINRA IPO Allocations Rules

Goodwin on

In This Issue. The Securities and Exchange Commission (SEC) approved amendments to the Financial Industry Regulatory Authority’s (FINRA) initial public offering (IPO) allocations rules, expanding the exemptions and exclusions...more

K&L Gates LLP

Individual Liability in CFPB Enforcement Proceedings

K&L Gates LLP on

To date, the CFPB has brought 12 cases—out of more than three dozen total CFPB enforcement cases—in which it named individuals as defendants or respondents liable for violations of consumer protection statutes. Below, we...more

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