Sentencing Guidelines for United States Courts | No. ________ |
4/13/2012
The United States Sentencing Commission has promulgated amendments to the federal sentencing guidelines responding to the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) regarding securities fraud, mortgage fraud, human rights offenses, drug offenses, and other offenses. More...
Email Hack Attack? Be Sure to Notify Brokerage Firms and Other Financial Institutions | FINRA Regulatory Notice 12-05 |
1/26/2012
The Financial Industry Regulatory Authority (FINRA) has issued a new Investor Alert called Email Hack Attack? Be Sure to Notify Brokerage Firms and Other Financial Institutions. More...
Investment Adviser Performance Compensation – February 15, 2012 | 17 CFR Part 275; Release No. IA-3372; File No. S7-17-11; RIN 3235-AK71 |
2/15/2012
The Securities and Exchange Commission has tightened its rule on investment advisory performance fees to raise the net worth requirement for investors who pay performance fees, by excluding the value of the investor’s home from the net worth calculation. More...
Identity Theft Red Flags Rules | SEC No. 2012-34, 17 CFR Part 248; Release No. IC-29969; File No. S7-02-12; RIN: 3235-AL26 |
2/28/2012
The Securities and Exchange Commission has announced a rule proposal to help protect investors from identity theft by ensuring that broker-dealers, mutual funds, and other SEC-regulated entities create programs to detect and respond appropriately to red flags. More...
Comment Request for Study Regarding Financial Literacy Among Investors | SEC No. 2012-12, Release No. 34-66164; File No. 4-645 |
1/18/2012
The Securities and Exchange Commission has published a request for public comment on financial literacy and investor disclosure issues that it is studying as part of a review mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act.
More...
Mine Safety Disclosure Requirements | SEC No. 2011-273, 17 CFR PARTS 229, 239 and 249, Release Nos. 33-9286; 34-66019; File No. S7-41-10 |
12/21/2011
The Securities and Exchange Commission has adopted new rules outlining how mining companies must disclose the mine safety information required by the Dodd-Frank Wall Street Reform and Consumer Protection Act. More...
Plans to Review Existing Regulations for Continued Effectiveness | FDIC No.____ |
11/10/2011
On July 11, 2011, the President issued Executive Order 13579, "Regulation and Independent Regulatory Agencies". The FDIC has a long-standing policy and practice of reviewing its proposed and existing regulations to evaluate their impact. More...
Net Worth Standard for Accredited Investors Under Dodd-Frank Act | SEC No. 2011-274, 17 CFR PARTS 230, 239, 270, and 275 , Release Nos. 33-9287; IA-3341; IC-29891; File No. S7-04-11, RIN 3235-AK |
12/21/2011
The Securities and Exchange Commission has amended its rules to exclude the value of a person’s home from net worth calculations used to determine whether an individual may invest in certain unregistered securities offerings. More...
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private E | SEC No. 2011-278, 17 CFR Part 255; Release No. 34-66057; File No. S7-41-11; RIN 3235-AL07 |
12/23/2011
Four federal agencies have extended until February 13, 2012, the comment period on a proposal to implement the so-called Volcker Rule of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
More...
SEC-FINRA Joint Guidance on Effective Policies and Procedures for Broker-Dealer Branch Inspections | SEC No. 2011-250, SEC-FINRA Regulatory Notice No. 11-54, FINRA Risk Alert Volume I, Issue 2 |
11/30/2011
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) and the Financial Industry Regulatory Authority (FINRA) have issued a Risk Alert and a Regulatory Notice on broker-dealer branch inspections, and offered suggestions to help securities industry firms better perform this key supervisory function. More...
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