Broker- Dealer Law Corner

Broker- Dealer Law Corner

Category Archives: Dodd Frank

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The Financial Choice Act — Much Ado About Nothing

Posted in Dodd Frank
While most of DC was watching the Comey hearing, the House of Representatives passed the Financial CHOICE Act, which would significantly alter the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act. Dodd-Frank created the Consumer Financial Protection Bureau (CFPB). The Financial CHOICE Act passed the House with a vote of 233 to 186; a… Continue Reading

Article II Appointments Clause Defense To SEC Administrative Actions Gains Momentum In The Courts

Posted in Administrative Proceedings, appeal, Dodd Frank, SEC
Here is Part II of Ken Berg’s analysis of constitutional defenses that have been raised in response to the SEC’s increased use of administrative proceedings.  In the interest of full disclosure, note that the Malouf case referenced towards the end is one that Heidi VonderHeide and I are handling.  In addition, it also worth mentioning… Continue Reading

Trump Actions on the DOL Fiduciary Rule and Dodd-Frank

Posted in Dodd Frank, Fiduciary duty, Fiduciary Rule, Fiduciary Standard
Here are some important observations from my partner, Fran Goins, on two missives President Trump issued on Friday that you should know about.  My own politics have made themselves pretty clear in recent posts, so it’s good to have someone comment on these presidential pronouncements without the snarkiness I would have undoubtedly injected, wittingly or otherwise. … Continue Reading
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