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Sort by:  | Broker-Dealer Branch Office Inspection Guidance Issued by SEC and FINRA
Hugh C. Nickson; Jones, Walker, Waechter, Poitevent, Carrère & Denègre L.L.P.;
Legal Alert/Article December 13, 2011, previously published on December 8, 2011 On November 30, 2011, the Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”) issued joint guidance regarding broker-dealer branch inspections in the form of a National Examination Rick Alert (the “Alert”). The...
| | SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Asset-Backed Securities Transactions
Hugh C. Nickson; Jones, Walker, Waechter, Poitevent, Carrère & Denègre L.L.P.;
Legal Alert/Article October 17, 2011, previously published on October 13, 2011 On September 19, 2011, the Securities and Exchange Commission (“SEC”) proposed a rule intended to prohibit certain “material conflicts of interest” between securitization participants who package and sell asset-backed securities (including synthetic asset-backed securities)...
| | Securities and Exchange Commission Implements its New Whistleblower Program
Hugh C. Nickson; Jones, Walker, Waechter, Poitevent, Carrère & Denègre L.L.P.;
Legal Alert/Article August 30, 2011, previously published on August 25, 2011 The Securities and Exchange Commission’s new whistleblower program became effective on August 12, 2011. Pursuant to its new program, the Securities and Exchange Commission (“SEC”) launched a new webpage for people to report a suspected violation of the federal securities laws and...
| | 11th Circuit Considers National Bank Act Preemption as Amended by Dodd-Frank
Hugh C. Nickson; Jones, Walker, Waechter, Poitevent, Carrère & Denègre L.L.P.;
Legal Alert/Article May 30, 2011, previously published on May 19, 2011 On May 11, 2011, in one of the first cases to analyze the preemption standard contained in the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”), the 11th Circuit affirmed the district court’s dismissal of plaintiff's Florida state law claims...
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