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Tag: dodd-frank

Reg BI Headlines Four Securities Enforcement Priorities for 2020

January 16, 2020 by Erin Connors
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?

April 2, 2019 by Marc Butler
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

October 17, 2018 by Marc Butler
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

July 19, 2018 by Marc Butler
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

June 4, 2018 by Erin Connors
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)

June 1, 2018 by Phil Brown
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 ...

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