Elizabeth Shea Fries

OFR Issues Working Paper That Examines History Of Cyclical Macroprudential Policy In U.S.

OCC Files Brief Urging U.S. District Court For Southern District Of New York To Reconsider Its Ruling That Bank Examination Privilege Did Not Protect Supervisory Correspondence Between OCC And Bank Of China

FINRA Provides Guidance On Communications With The Public Concerning Unlisted Real Estate Investment Programs

New Disclosure Obligations For Sponsors Of ERISA Plans And Service Providers With ERISA Clients

Federal Banking Regulators Issue Final Guidance on Bank Stress Testing Framework for Large Banks

Federal Banking Agencies Clarify Supervisory Expectations For Stress Testing By Community Banks

SEC Staff Posts FAQ On Mid-Sized Advisers

Agencies Extend Risk Retention Rulemaking Comment Period

FINRA Proposes Adoption Of Supervision Rules Consolidating Rules From NASD And NYSE Rulebooks And Other Guidance

Barney Frank Urges SEC To Consider Fiduciary Standard Appropriate For Broker-Dealers And Not Merely Based On Investment Adviser Model

Family Office Exemption Under Dodd-Frank – SEC Releases Final Rule

SEC Adopts Rules Creating Adviser Registration Exemptions And Implementing Certain Dodd-Frank Provisions

SEC Releases Proposed Rules to Implement New Exemptions from Investment Advisers Act Registration and Other Aspects of Dodd-Frank

Private Fund Investment Advisers Registration Act of 2010 Signed Into Law