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...
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 ...