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SEC proposes to update statistical disclosures by bank and savings and loan registrants
The Commission proposes to rescind Industry Guide 3 and to modernize and codify certain of its required disclosures into a new Subpart 1400 of Regulation S-K.
Free speech and broker-dealer regulations are at odds in petition asking justices to remove political spending curbs
The New York Republican State Committee wants the justices to hold that an SEC-approved FINRA rule banning certain political donations by placement agents violates the First Amendment.
Controversial Volcker Rule amendments adopted prior to CFTC Sunshine Act meeting without public discussion
Chairman Tarbert promised increased transparency with respect Commission rulemaking, but Volcker Rule amendments were handled on a seriatim basis prior to the open meeting, thereby leaving discussion...
Opt-out suits were not part of a ‘single action’ with prior, settled class action
Opt-out suits brought by class members were not part of a "single action" with the settled class action and were not precluded by the SLUSA.
Financial planners join battle over SEC’s Regulation BI
Two financial planning firms field suit to challenge the validity of the SEC’s Regulation BI on largely the same grounds as multiple state attorneys general did just days before, although some...