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JD Supra: Securities Act Rule 192 – Conflicts of interest relating to certain securitizations
JD Supra· 6 hours agoThis...securitization participants from engaging in any transactions involving an asset-backed security (“ABS”) that would involve or result in any material conflict of interest ...
Two Exceptions to FTC’s Non-Compete Ban | ThinkAdvisor
ThinkAdvisor· 4 days agoNotably, the FTC’s definition of senior executive is more limited than the Securities and Exchange ...
Crypto’s Latest Privacy Battle
CoinDesk via Yahoo Finance· 4 days agoAt the end of May the U.S. Security and Exchange Commission's (SEC) newest mass surveillance tool – the Consolidated ...
Court Hands Private Equity, Hedge Funds a Win on SEC Fee Rules
The Wall Street Journal· 4 days agoA federal court in New Orleans handed Wall Street a win Wednesday, striking down a set of rules the...
Securing Integrity: The SEC and DOJ’s Unified Front and Pursuit of Novel Legal Tactics Against...
JD Supra· 5 days agoThe U.S. Securities and Exchange Commission (“SEC”) and Department of Justice (“DOJ”) have been working increasingly ...
Like Leveraged ETFs? SEC Panel Wants Brokerage Firms to Vet Who Can Trade Such ‘Complex Products.’
Barrons.com· 2 days agoThe commission’s Investor Advisory Committee wants regulators to first come up with a definition for...
GameStop stock plummets as ‘Roaring Kitty’ rambles on live stream
Washington Post· 2 days agoThe influential investor’s widely anticipated live stream started 25 minutes late, with pounding...
Should Finfluencers Be Regulated as Financial Advisors?
Barrons.com· 3 days agoAs a practical matter, even if a finfluencer could be subject to SEC oversight as an advisor, they...
House passes Financial Innovation and Technology for the 21st Century Act | JD Supra
JD Supra· 7 days agoWhile we do not expect that FIT21 will be passed by the Senate, it...
JD Supra: (Some) Banking Agencies Repropose Dodd-Frank 956 Incentive Compensation Rules
JD Supra· 11 hours agoSection 956 of the Dodd-Frank Wall Street Reform and Consumer Protection Act requires that six agencies — the Federal Reserve System (FRS), Office of the Comptroller of the Currency...