Douglas Faucette

Locke Lord LLP

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Latest Posts › Securities and Exchange Commission (SEC)

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SEC, CFTC and FinCEN Issue Joint Statement on Activities Involving Digital Assets

On October 11, 2019, the Chairman of the Securities and Exchange Commission (“SEC”), the Chairman of the Commodities Futures Trading Commission (“CFTC”) and the Director of the Financial Crimes Enforcement Network (“FinCEN”)...more

10/23/2019 / AML/CFT , Bank Secrecy Act , Blockchain , CFTC , Cryptocurrency , Digital Assets , FinCEN , Joint Statements , Money Services Business , Securities and Exchange Commission (SEC)

SEC Proposes Amendments to require Use of Universal Proxy Cards

At its October 26th open meeting, the Securities and Exchange Commission voted to propose amendments to the proxy rules which would require the use of a universal proxy card in a contested election of directors. If adopted,...more

11/4/2016 / Amended Rules , Director Nominations , Securities and Exchange Commission (SEC) , Shareholder Votes , Shareholders , Universal Proxy Cards

Reports Emanate From Washington That Financial Regulators Poised To Promulgate New Restrictions On Community Bank Executive...

In June of 2010 bank regulatory agencies issued final guidance relating to incentive compensation arrangements at all financial institutions. Shortly thereafter in July, President Obama signed into law the Dodd-Frank Act....more

3/29/2016 / Banking Sector , Barack Obama , Clawbacks , Community Banks , Dodd-Frank , Executive Compensation , Incentive Compensation , Securities and Exchange Commission (SEC)

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