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By: Veronica Johnson In the aftermath of the financial collapse of 2008, Congress enacted the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Act"). The Act is potentially the largest overhaul of financial regulation since...

by Cary J. Meer, Mark Mehrespand and Ben Jacqmotte Excerpt: On July 1, 2010, the Securities and Exchange Commission (the "SEC" or "Commission") adopted Rule 206(4)-5 (the "Rule") under the Investment Advisers Act...

by Cary J. Meer, Mark Mehrespand and Ben Jacqmotte Excerpt: On July 1, 2010, the Securities and Exchange Commission (the "SEC" or "Commission") adopted Rule 206(4)-5 (the "Rule") under the Investment Advisers Act...

by Stacey H. Crawshaw-Lewis, Deana L. S. Gregory, and Carol Juang McCoog Excerpt: On July 21, 2010, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"). The Dodd-Frank Act...

The SEC filed its first action against a state, charging New Jersey with fraud in connection with multiple offerings of municipal bonds dating back to 2001. In the Matter of State of New Jersey , Adm. Proc. File No. 3-14009 (Aug. 18, 2010). The...

by Halle R. Alexander, Bruce H. Giles-Klein, and John Overdorff of Greenberg Traurig On May 26, the Securities and Exchange Commission (SEC) unanimously approved amendments to its Rule 15c2-12 that will expand the continuing disclosure obligations...

by Stacey H. Crawshaw-Lewis, Deana L. S. Gregory, and Carol Juang McCoog Excerpt: On July 21, 2010, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"). The Dodd-Frank...

Fuggedaboutit! New Jersey became the first state ever charged by the SEC for violations of the federal securities laws. They gave up without a fight and agreed to settle the case, without admitting or denying the SEC's findings. This matter...

by Stacey H. Crawshaw-Lewis, Deana L. S. Gregory, and Carol Juang McCoog Excerpt: On July 21, 2010, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"). The Dodd-Frank...