January 16, 2020
Reg BI Headlines Four Securities Enforcement Priorities for 2020
It’s January, and around Washington, D.C., that means it’s time for government agencies to decla...
Tag: dodd-frank
April 2, 2019
Could Compensation Clawbacks Make a Comeback?
For the second time in less than three years, embattled financial services firm Wells Fargo & Co...
October 17, 2018
Motives Questioned in SEC Reissue of Swap Rules
As a sign of their importance (or lack thereof) at the SEC, proposals for rules on securities-based ...
July 19, 2018
SEC Takes Aim at Big Whistleblower Awards
It’s hard out there for a whistleblower. First, the Supreme Court issued a narrow reading of the S...
June 4, 2018
CFTC Unveils Blueprint for Swaps Rules Reboot
President Trump has declared the Dodd-Frank Act a “disaster” and has promised to drastically ove...
June 1, 2018
Deregulation Kicks Into Gear (Just in Time for Our Webinar)
A year and a half into the new administration, it may be fair to say that President Trump’s grand ...