CFPB’s Cordray Ratifies Recess Appointment Actions By Steve Quinlivan on 09/02/2013 … Continue Reading CFPB’s Cordray Ratifies Recess Appointment Actions
SDRs Announce Procedures to Elect Swap End-User Exception By Steve Quinlivan on 08/30/2013 … Continue Reading SDRs Announce Procedures to Elect Swap End-User Exception
SEC Whistleblowers to Receive $125,000 By Steve Quinlivan on 08/30/2013 … Continue Reading SEC Whistleblowers to Receive $125,000
Many Banks Not Ready for New CFPB Mortgage Rules By Steve Quinlivan on 08/28/2013 … Continue Reading Many Banks Not Ready for New CFPB Mortgage Rules
Regulators Propose New Risk Retention Rule By Steve Quinlivan on 08/28/2013 … Continue Reading Regulators Propose New Risk Retention Rule
SEC Brings First Case for Misleading Chief Compliance Officer By Steve Quinlivan on 08/27/2013 … Continue Reading SEC Brings First Case for Misleading Chief Compliance Officer
Open for Business: Comments on the SEC’s Latest Regulation D Proposals By David Jenson on 08/26/2013 … Continue Reading Open for Business: Comments on the SEC’s Latest Regulation D Proposals
CFTC Clarifies That Typical Retail Energy Contracts Are Not Subject to Regulation Under Dodd-Frank’s Retail Commodity Transaction Provisions By Steve Quinlivan on 08/26/2013 … Continue Reading CFTC Clarifies That Typical Retail Energy Contracts Are Not Subject to Regulation Under Dodd-Frank’s Retail Commodity Transaction Provisions
10 Minute Overview of General Solicitation and Crowdfunding By David Jenson on 08/21/2013 … Continue Reading 10 Minute Overview of General Solicitation and Crowdfunding
SEC Charges Private Equity Fund Manager with Misleading Investors about Valuation and Performance By Steve Quinlivan on 08/20/2013 … Continue Reading SEC Charges Private Equity Fund Manager with Misleading Investors about Valuation and Performance