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 declare their priorities for the coming year. They’re...
Could Compensation Clawbacks Make a Comeback?
For the second time in less than three years, embattled financial services firm Wells Fargo & Co. is looking for a new CEO.
Much like predecess...
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 swaps haven’t moved an inch along the pathway to...
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 SEC’s whistleblower rules, limiting anti-retaliat...
CFTC Unveils Blueprint for Swaps Rules Reboot
President Trump has declared the Dodd-Frank Act a “disaster” and has promised to drastically overhaul it. But the Trump-nominated CFTC Chairman,...
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 promises to deregulate have amounted to more bark ...