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Searching Content indexed under Consumer Protection by Anna T. Pinedo ordered by Published Date Descending.
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Attorneys General Sue The SEC To Invalidate Regulation Best Interest
The Attorneys General of seven states – New York, California, Connecticut, Delaware, Maine, New Mexico, Oregon – and the District of Columbia
United States
18 Oct 2019
2
FIMSAC Approves Recommendation For Investor Education Regarding Retail Notes
In a meeting held on July 29, 2019, the SEC's Fixed Income Market Structure Advisory Committee ("FIMSAC") unanimously approved its Corporate Bond Transparency Subcommittee's
United States
2 Sep 2019
3
Extraterritoriality Decision
In 2010, the US Supreme Court in Morrison v. National Australia Bank established a new standard, a transactional test, for determining the extraterritorial application of Section 10(b) ...
United States
7 Mar 2019
4
CPO And CTA Rule Proposals
Earlier this month, the Commodity Futures Trading Commission proposed rules that would codify certain relief provided to commodity pool operators and commodity trading advisors in the post
United States
1 Nov 2018
5
Congress Urges SEC To Revise Regulation Best Interest
The legislators are concerned that proposed Regulation BI relies heavily on disclosures to investors without any evidence suggesting that these disclosures would be effective.
United States
26 Oct 2018
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