As reported in our June 23 Client Advisory, the Securities and Exchange Commission on June 22 adopted rules defining three new exemptions from investment adviser registration (the Exemptive Rules) ...

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We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

Financial markets were not deregulated prior to the 2008 financial crisis. Dodd-Frank did not end the too-big-to-fail problem. Consumer protection existed prior to Dodd-Frank. The Dodd-Frank Wall ...

Shortly after taking office in January, President Trump signed an executive order cutting financial regulations, a first step at dismantling aspects of the Dodd-Frank Act. But what is Dodd-Frank? Is ...

Securities attorney Joy S. Newborg has written a summary of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Act, signed by President Obama on July 21, 2010, covers a wide variety of ...

Reporting from Washington — President Trump was preparing the first step in a key campaign promise — dismantling the 2010 Dodd–Frank Wall Street Reform and Consumer Protection Act — when he repeated a ...

The 2010 Dodd-Frank Act is designed to prevent a repeat of the banking meltdown and the 2008–09 financial crisis. One of its goals is to make banks, and especially large banks, more transparent about ...

WASHINGTON — In the face of bank deregulatory efforts by the Trump administration and GOP-controlled Congress, a group of progressive lawmakers and former regulators held firm to their support of ...

Mr. Chairman, Ranking Member Watt, and members of the Subcommittee, thank you for the opportunity to be here today. I am Alex Pollock, a resident fellow at the American Enterprise Institute, and these ...

After every major financial crisis over the past century, policymakers in the executive and legislative branches of the United States government have passed sweeping legislation to overhaul the way ...