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SEC Proposes Framework for Fund Fees; Approves Adviser Disclosure Form Changes
July 28, 2010 in Alternative Investment Law Report · Leave a Comment
The Securities and Exchange Commission July 21 unanimously proposed extensive changes to the framework for mutual fund distribution fees that would cap…
Small Banks Seen as Consolidating To Cope With Revamped Financial Rules
July 28, 2010 in Banking Report · Leave a Comment
Although the recently enacted financial reform bill (Public Law No: 111-203) appears to be less burdensome on community banks than their…
Basel Committee Bends to Bank Pressure, Issues Modifications to Basel III
July 28, 2010 in Banking Report · Leave a Comment
Bending to pressure from the world’s most powerful banks, the Basel Committee on Banking Supervision issues changes to its proposed…
SEC Proposes Framework for Fund Fees; Approves Adviser Disclosure Form Changes
July 26, 2010 in Securities Regulation & Law Report · Leave a Comment
The Securities and Exchange Commission July 21 unanimously proposed extensive changes to the framework for mutual fund distribution fees that would cap…
Obama Signs Reform Bill To Overhaul Regulation of Financial Markets
July 26, 2010 in Securities Regulation & Law Report · Leave a Comment
President Obama July 21 signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act, the most sweeping overhaul of…
Fee Disclosure of Defined Contribution Plans: The State of Fiduciary Duties
July 21, 2010 in Alternative Investment Law Report · Leave a Comment
Corporate governance events in the financial services industry over the last few years have caused plan sponsors to pay more attention to transparency and…
Six Bank Failures Bring 2010 Total to 96; Cost Deposit Insurance Fund $335 Million
July 20, 2010 in Banking Report · Leave a Comment
Six bank failures July 16 brought the year’s total of failed federally insured banks to 96, and cost the deposit insurance fund $334.8 million…
With Reg Reform Complete, Focus Turns To Establishing Consumer Protection Bureau
July 20, 2010 in Banking Report · Leave a Comment
The Treasury Department will designate a date for transferring powers to the new Consumer Financial Protection Bureau by the end of the summer under…
Goldman Sachs to Pay Record $550 Million to Settle SEC Charges over 2007 CDO
July 16, 2010 in Securities Regulation & Law Report · Leave a Comment
The Securities and Exchange Commission announced July 15 that Goldman, Sachs & Co. has agreed to pay a record $550 million penalty and to reform its…
Senate Sends Financial Regulatory Reform Bill to White House for President’s Signature
July 16, 2010 in Banking Report · Leave a Comment
The Senate voted 60-39 to approve legislation (H.R. 4173) July 15 that would overhaul regulation of banks and other financial services companies and change…


