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Securities and Exchange Commission (SEC) › Enforcement Guidance › Financial Services Industry

Troutman Pepper Locke

SEC Reportedly Announces Major Reorganization of Enforcement and Exams Divisions

Troutman Pepper Locke on

The U.S. Securities and Exchange Commission (SEC) has reportedly announced internally a major reorganization of its enforcement and exams divisions. This restructuring, effective April 9, 2025, was detailed in a staff memo...more

Goodwin

Financial Services Weekly Roundup: The CFPB Digs Into “Seasoned” Qualified Mortgages

Goodwin on

In the News. The Consumer Financial Protection Bureau (CFPB) issued a notice of proposed rulemaking to create a new category of “seasoned” qualified mortgages; the Securities and Exchange Commission’s (SEC) Office of...more

Carlton Fields

Use of Non-Binding SEC Staff Guidance Called Into Question

Carlton Fields on

Recent moves by the SEC could signal a shift away from the use of non-binding guidance in the form of no-action letters or other types of compliance and interpretive information that the SEC staff frequently publishes....more

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