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Searching Content indexed under Financial Services 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
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