Latest Dodd-Frank Posts
SEC Proposes Regulation Best Interest for Broker-Dealers
Broker-Dealer, Investment Advisers The SEC has proposed two rules and an interpretation to address retail investor confusion about the relationships that they have with investment professionals and the harm that may result from that confusion. Confusion has resulted from differing standards applied to broker-dealers and investment advisers. As a result of the proposed rules, the SEC will consider […] Read more →
SEC Clarifies Need for GAAP Reconciliations for Forecasts Used in Business Combinations
M&A, Public Companies and Securities The SEC previously noted in a Compliance and Disclosure Interpretation that financial measures included in forecasts provided to a financial advisor and used in connection with a... Read more →
ISS Updates FAQs on U.S. Proxy Voting Research and Policies
Public Companies and Securities ISS has updated its frequently asked questions on U.S. Proxy Voting Research Procedures & Policies (Excluding Compensation-Related). New and updated questions include: When... Read more →
“True Lender” Litigation on the Rise: Recent Litigation and Enforcement Actions Challenge Traditional Bank Partnership Model
Banking, Consumer Protection, Litigation Over the last two years the financial industry has seen an uptick in litigation and enforcement actions aimed at banks and their non-bank lending partners. These actions have... Read more →