Article
21 Jul 2010
President Obama Expected to Sign Dodd-Frank Act Tomorrow
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Article
14 Jul 2010
ABA Task Force Submits Report on Investment Company Use of Derivatives and Leverage to SEC
Article
07 Jul 2010
Federal District Court Rules Against SEC in First Insider Trading Case Involving Credit Default Swaps
Article
30 Jun 2010
Dodd-Frank Act Conference Report Finalized by Financial Regulatory Reform Conference Committee
Article
23 Jun 2010
Update on 401(k) Fee Litigation
Article
16 Jun 2010
Federal District Court Dismisses with Leave to Amend Derivative Suit Based on Alleged Unlawfulness of Asset-Based Rule 12b-1 Payments by Mutual Fund Distributor to Selling Broker-Dealers
Article
09 Jun 2010
Federal District Court Grants in Part and Denies in Part Motion to Dismiss ERISA Class Action Claims Challenging Bank’s Inclusion of Company Stock in its Retirement Plans
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02 Jun 2010
SEC Staff Responds to Questions Concerning Recent Amendments to Money Market Fund Rules
Article
26 May 2010
U.S. Senate Passes Financial Regulatory Reform Bill
Article
19 May 2010
FDIC Issues Notice of Proposed Rulemaking Regarding Safe Harbor for Bank-Sponsored Securitizations
Article
13 May 2010
Quartlery Financial Services Alert - May 11, 2010
Article
05 May 2010
FFIEC Releases Updated Bank Secrecy Act/Anti-Money Laundering Manual
Article
28 Apr 2010
FRB Chairman Bernanke Testifies Before House Committee on Lessons from Failure of Lehman
Article
21 Apr 2010
SEC Commences Administrative Proceedings over Pricing of Securities Backed by Subprime Mortgages in Mutual Fund and Closed-End Fund Portfolios as FINRA and State Authorities Take Related Action
Article
14 Apr 2010
SEC Proposes Significant Revisions to Regulation AB and Other Rules Regarding Asset-Backed Securities
Article
08 Apr 2010
U.S. Supreme Court Issues Decision in "Harris Associates" Mutual Fund Excessive Fee Case
Article
31 Mar 2010
U.S. Supreme Court Issues Decision in Mutual Fund Excessive Fee Case
Article
24 Mar 2010
FINRA Rulemaking Addressing Placement Agent Pay-To-Play Activities May Forestall Proposed SEC Ban On Adviser Use Of Placement Agents To Solicit Government Entity Clients
Article
17 Mar 2010
Senator Dodd Releases Revised Financial Regulatory Reform Bill
Article
11 Mar 2010
FinCEN, The Federal Banking Agencies And The SEC Issue Joint Guidance On Obtaining And Retaining Beneficial Ownership Information