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“I’m concerned about what other interpretations are coming” from the SEC on the new ad rule, he continues. “The marketing rule has a lot of ...
Blue folder with the label Privacy Law
Take heed of your existing privacy programs and extend them to employees and business contacts
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A peer shares an example of a non-disclosure agreement
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This is a so-called mutual non-disclosure agreement, which means the non-disclosure terms apply to both parties to the agreement
Firm failed to "fully and fairly" disclose conflicts tied to revenue sharing payments and incentives received from two clearing brokers
SEC Commissioner Uyeda
"I have concerns whether today’s rule proposal correctly strikes this balance. Thus, comments from market participants will be especially important in consideration of any final rule"
SEC Commissioner Crenshaw
"As we were all witness to in 2008, these intermediaries might be incentivized to, essentially, bet against the performance of an asset backed security that ...
SEC Commissioner Peirce
"I apologize for the proposal’s unnecessarily short comment period, which continues a troubling pattern in the face of public and Congressional concern"
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This is an SEC proposed rule that seeks to bar conflicts of interest in the sale of asset-backed securities
SEC Chairman Gary Gensler
"As directed by Congress, today’s re-proposed rule would prohibit so-called securitization participants—those who sell or facilitate the sale of an asset-backed security—from engaging in a ...

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