Securities & Exchange Commission (SEC)
More Securities & Exchange Commission (SEC) Articles
Securities & Exchange Commission (SEC)
U.S. Supreme Court Decision May Limit Scope Of Persons Who Can Be Primarily Liable For Securities Fraud Under Rule 10b-5
The Supreme Court's June 13, 2011 decision in Janus Capital Group, Inc. v. First Derivative Traders may provide defendants with additional ammunition in securities class action lawsuits by limiting the scope of persons who can be primarily liable for securities fraud under SEC Rule 10b-5. 17...
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Federal Reserve Issues Final Rule For Compliance With The Volcker Rule
New Regulatory Developments The Federal Reserve Board (the "Board") has adopted a final rule (the "Final Rule") implementing the timeframe for banking entities to come into compliance with the prohibitions and restrictions on proprietary trading and investment in private...
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SEC And Federal Reserve Board Issue Final "Push-out" Rules
The SEC and Federal Reserve Board recently adopted a single set of final rules that implement certain of the exceptions for banks from the definitions of "broker" and "dealer" under the Securities Exchange Act of 1934. These final rules do not effect a material change to...
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