Weekly Regulatory Deadlines | October 10 to October 16

10 Years Since the 2008 Financial Crisis: How have the Rules Changed?

Source: Forbes

Amendments to Municipal Securities Disclosure

SEC | Broker-Dealer, Securities | Final Rule

This year marks a decade since the 2008 global financial crisis. The collapse of American investment bank Lehman Brothers sparked an economic downturn which was felt throughout the entire world, particularly across Europe. The crisis has since been attributed to a range of different factors, all of which were greatly exacerbated by irresponsible behaviors exhibited by banks, specifically by way of excessive risk-taking...
Rival retailers could be the biggest beneficiaries of the demise of Sears Holdings. Sears filed for Chapter 11 bankruptcy on Monday (October 15), gearing up to close 142 stores after decades of declining revenue and hundreds of store closures. And analysts believe that JCPenney could be the biggest winner as a result, as the retailer has...
I have a tendency to sound like a “broken record” (an odd phrase in these days of digital music).  The government’s most powerful enforcement tool continues to be – drumroll please, the False Claims Act.  The government “always” (or in most cases) wins.  Defendants are rarely willing to risk exclusion from valuable federal healthcare programs or defense contracts. When the government brings a case, the...
The three main Wall Street indexes rose more than 1 percent on Tuesday as upbeat earnings from blue-chips such as Johnson & Johnson and Goldman Sachs eased jitters over the impact of rising interest rates and tariffs on corporate profits...
Yellen: Trump's Fed attacks threaten central bank, financial stability
The Hill 10/15/2018
U.S. stocks opened higher on Tuesday, led by technology stocks, as upbeat earnings from blue-chip companies helped ease jitters over the impact of an ongoing U.S.-China trade war and other global issues on corporate profits...
Saul Daniel Suster
SEC | Securities | Enforcement | 10/12/2018
SEC | Securities | Enforcement | 10/11/2018
SEC | Securities | Enforcement | 10/10/2018
FINRA | Securities | Enforcement | 10/11/2018
SEC | Securities | Enforcement | 10/12/2018