Elizabeth Fries

FRB Issues Approval Of Application By Industrial And Commercial Bank Of China Limited And Two Other Chinese Banks To Become Bank Holding Companies Through Acquisition Of Up To 80% Of The Bank Of East Asia (U.S.A.) National Association

FINRA Sanctions Four Firms $9.1 Million Over Sales Of Leveraged And Inverse Exchange-Traded Funds

FDIC Chairman Outlines FDIC’s Strategy For Resolution Of Systemically Important Financial Firm

SEC Reopens Comment Period For Proposed Amendments To Its Financial Responsibility Rules For Broker-Dealers

FinCEN Extends Comment Period On Proposed Rule Regarding Customer Due Diligence Requirements

MSRB Withdraws Municipal Advisor Rule Filings

CFTC Proposes To Extend Temporary Relief Under July 14, 2011 Order That Postponed Effectiveness Of Various Elements Of New Dodd-Frank Regulatory Framework For Swaps

Derivative Suit Filed Against JPMorgan Directors Claiming Breach Of Fiduciary Duty And Unjust Enrichment In Connection With JPMorgan’s $88.3 Million Settlement With OFAC

DOL Issues Final Regulation Regarding Prohibited Transaction Exemptions For Investment Advice Arrangements

Federal District Court Dismisses Derivative Claims By Mutual Fund Investors Based On Failure To Follow Proper Procedure Following Demand On Fund Board

DOL Issues Interim Policy On Providing Information Via Electronic Media Under Participant-Level Fee Disclosure Regulation

Federal Banking Agencies And SEC Issue Proposed Volcker Rule Regulations

Federal Banking Agencies Issue Guidance On Counterparty Credit Risk Management

SEC Staff Provides No-Action Relief From Advisers Act Registration To A Wholly-Owned Subsidiary Advising Foreign Funds Whose Sole Investor Was Adviser’s Parent

SEC Provides Limited Extension Of Compliance Deadlines For New Risk Management Control Requirements Applicable To Broker-Dealers With Market Access

FDIC Brings Suit Against Former CEO Of Indymac; Former Washington Mutual Senior Officers Seek Dismissal Of FDIC Suit On Grounds That They Should Be Protected By Business Judgment Rule

Proposals For Broad Regulation Of Derivatives Markets Emerge In Congress

Treasury Proposes Over-The-Counter Derivatives Markets Act Of 2009

Update On SEC Actions Regarding Short Sales

March 16, 2009 Due Date For Form D Amendments For Certain Ongoing Offerings