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SEC Issues Final Dodd-Frank Whistleblower Rules 26 May 2011 Legal News Alert: Securities Enforcement & Litigation On May 25, 2011, the SEC commissioners announced final rule changes to the Securities Exchange Act of 1934 (Exchange Act), which implement the whistleblower program... When a Nonbinding Vote Binds: The Perils of Ignoring a "No" Vote on Executive Compensation 25 July 2011 Legal News: Securities Enforcement & Litigation Among its myriad provisions, the Dodd-Frank Wall Street Reform and Consumer Protection Act created Section 14A of the Securities Exchange Act of 1934. This new section... CFTC Order and Staff No-Action Letter Regarding Dodd-Frank Effectiveness for Swap Regulation 18 July 2011 Legal News: Financial Reform On July 14, 2011, the Commodity Futures Trading Commission (“CFTC” or “Commission”) issued a Final Order on Effective Date for Swap Regulation (“CFTC Order”) that... A Compilation of Enforcement and Non-Enforcement Actions 14 February 2011 Legal News: Investment Management Update Non-Enforcement Matters SEC Study Recommends a Uniform Fiduciary Standard for Providing Investment Advisory Services To no one’s surprise, the SEC — within a... A Compilation of Enforcement and Non-Enforcement Actions 01 June 2011 Legal News: Investment Management Update Non-Enforcement Matters Helpful Guidance for Investment Advisers on California Lobbyist Law A number of questions have arisen around the implementation of... A Compilation of Enforcement and Non-Enforcement Actions 29 April 2011 Legal News: Investment Management Update Non-Enforcement Matters Update on Dodd-Frank Investment Adviser Registration Requirements Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection... CFTC Whistleblower Rules Finalized 25 August 2011 Legal News: Securities Enforcement & Litigation The CFTC was given expanded powers to financially reward whistleblowers through the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Pursuant... A Compilation of Enforcement and Non-Enforcement Actions 28 March 2011 Legal News: Investment Management Update Non-Enforcement Matters SEC Provides Insight in Choosing Who to Examine Senior SEC officials recently outlined the agency’s criteria used when it selects registered... A Compilation of Enforcement and Non-Enforcement Actions 03 October 2011 Legal News: Investment Management Update Non-Enforcement Matters Legislation Intended to Create an SRO for Investment Advisers The Chairman of the House Financial Services Committee (House Committee),... Related 1 2 3
Regulation of Forex in the Wake of Dodd-Frank 14 October 2011 Legal News: Securities Enforcement & Litigation In passing the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), Congress has attempted to close loopholes in connection with the regulation...
SEC Issues Final Dodd-Frank Whistleblower Rules 26 May 2011 Legal News Alert: Securities Enforcement & Litigation On May 25, 2011, the SEC commissioners announced final rule changes to the Securities Exchange Act of 1934 (Exchange Act), which implement the whistleblower program...
When a Nonbinding Vote Binds: The Perils of Ignoring a "No" Vote on Executive Compensation 25 July 2011 Legal News: Securities Enforcement & Litigation Among its myriad provisions, the Dodd-Frank Wall Street Reform and Consumer Protection Act created Section 14A of the Securities Exchange Act of 1934. This new section...
CFTC Order and Staff No-Action Letter Regarding Dodd-Frank Effectiveness for Swap Regulation 18 July 2011 Legal News: Financial Reform On July 14, 2011, the Commodity Futures Trading Commission (“CFTC” or “Commission”) issued a Final Order on Effective Date for Swap Regulation (“CFTC Order”) that...
A Compilation of Enforcement and Non-Enforcement Actions 14 February 2011 Legal News: Investment Management Update Non-Enforcement Matters SEC Study Recommends a Uniform Fiduciary Standard for Providing Investment Advisory Services To no one’s surprise, the SEC — within a...
A Compilation of Enforcement and Non-Enforcement Actions 01 June 2011 Legal News: Investment Management Update Non-Enforcement Matters Helpful Guidance for Investment Advisers on California Lobbyist Law A number of questions have arisen around the implementation of...
A Compilation of Enforcement and Non-Enforcement Actions 29 April 2011 Legal News: Investment Management Update Non-Enforcement Matters Update on Dodd-Frank Investment Adviser Registration Requirements Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection...
CFTC Whistleblower Rules Finalized 25 August 2011 Legal News: Securities Enforcement & Litigation The CFTC was given expanded powers to financially reward whistleblowers through the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Pursuant...
A Compilation of Enforcement and Non-Enforcement Actions 28 March 2011 Legal News: Investment Management Update Non-Enforcement Matters SEC Provides Insight in Choosing Who to Examine Senior SEC officials recently outlined the agency’s criteria used when it selects registered...
A Compilation of Enforcement and Non-Enforcement Actions 03 October 2011 Legal News: Investment Management Update Non-Enforcement Matters Legislation Intended to Create an SRO for Investment Advisers The Chairman of the House Financial Services Committee (House Committee),...