Jan 3 2011 | 11:27am ET
By Cheri Hoff, Renée Dailey and Josephine Moon (Bracewell & Giuliani) -- On November 19, 2010, the Securities and Exchange Commission proposed new rules and amendments implementing certain provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. Among other things, the new rules propose amendments to the "pay to play" rule under the Investment Adviser's Act of 1940.
Jul 8 2014 | 10:48am ET
The surge in derivatives regulation is among the most complex challenges facing the financial services industry today. Northern Trust’s Joshua Satten recently spoke with FINalternatives to share insights into the challenges presented by new regulation and explore how the industry is responding. Read more…