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Searching Content indexed under Finance and Banking by Proskauer's Labor & Employment Practice Group ordered by Published Date Descending.
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The Securities Exchange Commission Adopts Final Rules Regarding The Whistleblowers Incentive Program In The Dodd-Frank Act
On May 25, 2011, the Securities Exchange Commission ("SEC"), by a narrow 3-2 vote, adopted final rules to implement the securities whistleblowing provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank").
United States
13 Jun 2011
2
Financial Services Remuneration in the UK
In December, the FSA published its final version of its Remuneration Code (the Code). The Code now incorporates requirements contained in the latest version of the Capital Requirements Directive (CRD3) – European legislation which, amongst other things, deals with remuneration in the financial services industry.
UK
23 Feb 2011
3
New FINRA Rule Establishes Procedures For Arbitrators Considering Expungement Of Customer Dispute Information
On October 30, 2008, the SEC approved a significant rule change to the Financial Industry Regulatory Authority, Inc. (“FINRA”) arbitration rules governing expungement of customer complaint information from Central Registration Depository (“CRD”) records.
United States
13 Nov 2008
4
Monitoring Securities Lending Programs In Today’s Market Environment
The recent instability, and extreme volatility, experienced by the financial markets during these past few weeks has been of some concern to our clients who are fiduciaries and investment advisors of private employee benefit plans subject to the Employee Retirement Income Security Act of 1974 (“ERISA”) — as well as to public employee benefit plans, foundations, mutual funds, insurance companies and other institutional owners of securities — which loan their securities.
United States
30 Sep 2008
5
The United States Department of Labor Publishes Final Rule Regarding Labor Organization Officer and Employee Reporting Obligations Under the LMRDA
On July 2, 2007, the United States Department of Labor ("DOL") published its Final Rule and guidance regarding the reporting responsibilities of union officials and union employees under the Labor Management Reporting and Disclosure Act ("LMRDA"), as well as a revised Form LM-30 (the Form that must be filed annually by union officials and union employees).
United States
27 Jul 2007
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