Search results
Supreme Court punts the NBA preemption analysis back to the Second Circuit | JD Supra
JD Supra· 6 days agoNo bright line test for preemption was articulated by the Court; instead, the Court relied on Barnett Bank and its earlier precedents dealing with National...
JD Supra: A Handbook for SEC Whistleblowers
JD Supra· 3 days agoThe U.S. Securities and Exchange Commission’s (SEC) Whistleblower Program was created in Section 922 of the Dodd-Frank Act of 2010, which amended the Securities ...
Mortgage closing fees are in the hot seat. Here's why feds are looking into them.
CBS News via Yahoo Finance· 1 day agoThe MBA said lenders worked with the CFPB a decade ago on making sure mortgage fees were laid out...
Banking Agencies Re-Propose Rules on Incentive-Based Compensation
The National Law Review· 6 days agoThe Proposed Rule is designed to implement Section 956 of the Dodd-Frank Wall Street Reform and...
FUNDamentals: Fifth Circuit Vacates New SEC Private Fund Adviser Rules | JD Supra
JD Supra· 2 days agoIn a 3-0 decision, the Court held that the SEC exceeded its statutory authority by using a provision of the Dodd-Frank Act Wall Street Reform and Consumer ...
U.S. Supreme Court vacates decision on interest for escrow accounts, orders further review | JD...
JD Supra· 6 days agoOn May 30, the U.S. Supreme Court vacated and remanded for further proceedings a 2022 decision by the Second Circuit that held that the National Bank Act preempted a New York state law requiring ...
Fifth Circuit Vacates the Private Fund Advisers Rules in their Entirety | JD Supra
JD Supra· 3 days agoCommission’s (the “SEC”) final rule1 regarding the regulation of private fund advisers (the “Final Rule”). In adopting the Final Rule, the SEC relied on its antifraud rulemaking authority found ...
US appeals court strikes down SEC private equity, hedge fund oversight rule By Reuters
Investing.com· 4 days agoIn a 3-0 decision on Wednesday, the New Orleans-based 5th U.S. Circuit Court of Appeals ruled in...
Court overturns SEC private fund adviser rule, calls out agency overreach
Compliance Week· 4 days agoThe unanimous decision to vacate the rule by the U.S. Court of Appeals for the Fifth Circuit,...
Private Funds Rules Vacated | JD Supra
JD Supra· 2 days agoOn June 5, 2024, the United States Court of Appeals for the Fifth Circuit (the “Court”) vacated the entire set of new Investment Advisers Act of 1940 (the “Advisers Act”) rules applicable to ...
