Federal Reserve Sets Course for Rulemaking
Banking, Executive Compensation, Private Equity The Federal Reserve Board has published an expected timeline for rulemaking activities in the first half of 2011. In the January to March 2011 timeframe, some of the things the Fed expects to accomplish include: The Board will assist the Financial Stability Oversight Council, or FSOC, in developing a Notice of Proposed Rulemaking regarding the […] Read more →
First Public Company Receives Benefit of SEC Cooperation Policy—Implications for Whistleblower Claims
Banking, Broker-Dealer, Employment, Insurance, Litigation, Public Companies and Securities The first public company received credit for its cooperation as a result of the SEC’s policy with respect to cooperation in investigations and enforcement actions announced in... Read more →
SEC Proposes Permanent Rule Requiring Municipal Advisors to Register With Agency
Banking, Broker-Dealer, Investment Advisers The SEC has proposed a rule creating a new process by which municipal advisors must register with the SEC. The proposed rule, required by the Dodd-Frank Wall Street Reform and... Read more →
SEC Requests Comment on Credit Rating Standardization Study
Public Companies and Securities The SEC is requesting public comment to help inform its study pursuant to Section 939(h) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 on the... Read more →