Securities

Recent Posts

A Fiduciary Duty for Broker-Dealers? How Dodd-Frank May Change the Way Broker-Dealers Conduct Business
Posted on 29 Sep 2011 by Morrison and Foerster LLP

by Hillel T. Cohn and Kevan P. Graydon Under the Dodd-Frank Act, the SEC is granted the authority to impose a fiduciary duty on broker-dealers. This EIA analyses the implications of the fiduciary duty of broker-dealers when they conduct business with... Read More

Dodd-Frank Act's Overhaul of the U.S. Over-The-Counter (OTC) Derivatives Market
Posted on 20 Sep 2010 by K & L Gates LLP

by Edward G. Eisert, Lawrence B. Patent, Gordon F. Peery and Charles R. Mills The primary objectives of Dodd-Frank are to bring about greater transparency and to enable regulators to better manage individual counterparty and broader systemic risks... Read More

Impact of Dodd-Frank Wall Street Reform and Consumer Protection Act on Broker-Dealers
Posted on 24 Aug 2010 by Eversheds Sutherland LLP

by Susan S. Krawczyk, Eric A. Arnold, Michael B. Koffler, Clifford E. Kirsch, and Holly H. Smith On July 21, 2010, President Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Act), bringing to a close the national debate... Read More