Continue Reading SEC Staff to Congress: Brokers Should be Subject to a Uniform Fiduciary Standard
Developments in Securities Regulation, Corporate Governance, Capital Markets, M&A and Other Topics of Interest. MORE
Steve Quinlivan
Steve has a strong reputation in M&A, securities and international transactions, offering a rare combination of excellence and value who presents well to boards. Steve represents clients across the United States in mergers and acquisitions, ESOPs, REITs, securities regulation, securities offerings, international transactions and financing matters. He uses his deep background in law, finance, accounting and project management to complete his clients' most strategically important and challenging assignments.
Disclosure for Asset-Backed Securities Related to Representations, Warranties and Repurchase Histories
GAO Report: Regulation of Financial Planners is Adequate
SEC Begins to Comment on Dodd-Frank Disclosures
Interagency Working Group Releases Report on Oversight of Carbon Markets
SEC Staff Concludes Insufficient Capacity to Examine Investment Advisers
Thus, the staff believes that the SEC likely will not have sufficient capacity in the near or long term to conduct effective examinations of registered investment advisers with adequate frequency. …
Continue Reading SEC Staff Concludes Insufficient Capacity to Examine Investment Advisers
FSOC Issues Notice of Proposed Rulemaking Regarding Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies
FDIC Board Approves Interim Final Rule on New Orderly Liquidation Authority
FSOC Study on Concentration Limit on Large Financial Institutions