Primer: The Volcker Rule Proprietary Buying And Selling

However, in 2020, a federal court docket struck down a few of the proposed adjustments to the Volcker Rule, ruling that they went past the agencies’ authority and violated the intent of the Dodd-Frank Act. The Volcker Rule, and the whole Dodd-Frank Act, aren’t...

Broker-dealer Regulation & Compliance Capabilities

Leading financial institutions contemplate Morgan Lewis a go-to legislation firm for the convergence of brokerage and investment advisory services, and our attorneys counsel many of the largest non-public wealth administration and private consumer companies. We draw...