Current filters:  
United States
Finance
United States
Mayer Brown
Approximately $126 billion in private debt was raised globally in 2019, according to PitchBook Data's Global Private Debt Report.
Mayer Brown
Bylined article by Financial Services Regulatory & Enforcement partners Krista Cooley and counsel Emily Booth-Dornfeld (both Washington DC).
DLA Piper
This regular publication from DLA Piper focuses on helping banking and financial services clients navigate the ever-changing federal regulatory landscape.
Cadwalader, Wickersham & Taft LLP
A U.S. broker-dealer (the "USBD") settled FINRA charges for permitting two employees of a non-U.S. affiliate to effect proprietary transactions for the account of the USBD without being registered with FINRA.
Cadwalader, Wickersham & Taft LLP
SEC Office of Credit Ratings ("OCR") Director Jessica Kane highlighted developments in the regulation of nationally recognized statistical rating organizations and solicited feedback on current disclosure obligations.
Cadwalader, Wickersham & Taft LLP
The Financial Services Committee voted to report to the full House a bill to establish a new statute of limitations applicable to SEC enforcement actions seeking civil monetary penalties.
Cadwalader, Wickersham & Taft LLP
The CFPB updated a rule proposal designed to clarify certain restrictions and address predatory debt collection practices.
Akin Gump Strauss Hauer & Feld LLP
Federal spot month limits would expand to cover 25 physical commodity futures, as well as certain "look alike" contracts and OTC swaps on the same underlying commodity
Jones Day
First, passive investment is anathema to mission-driven ESG investors.
Cadwalader, Wickersham & Taft LLP
FinCEN named Michael Mosier as the agency's first Digital Innovation Officer.
Cadwalader, Wickersham & Taft LLP
In a targeted examination, FINRA is seeking information on the practices of firms that charge zero commission on client trades and "the impact that not charging commissions has or will have on the Firm's order routing."
Mayer Brown
CBInsights recently published its report on financial services corporate venture capital (CVC) activity.
Cadwalader, Wickersham & Taft LLP
The OCC and the FDIC extended the comment period for proposed revisions to regulations implementing the Community Reinvestment Act ("CRA"), a law requiring that insured depository institutions help meet community credit needs.
Cadwalader, Wickersham & Taft LLP
CFTC Chair Heath P. Tarbert highlighted key hedging exemptions in the recently proposed new position limits for physical commodity derivatives.
Cadwalader, Wickersham & Taft LLP
The CFTC proposed amendments to rules governing "swap data reporting, dissemination, and public reporting requirements."
Ropes & Gray LLP
On January 30, 2020, the Federal Reserve Board issued a notice of proposed rulemaking and asked for comments on a proposed rule to simplify
Hogan Lovells
The U.S. Commodity Futures Trading Commission (CFTC) has charged a man from Colorado with fraud and failing to register with it in respect of a scheme that involved Ponzi-type payments.
Cadwalader, Wickersham & Taft LLP
In its February disciplinary report, FINRA recapped actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws and rules.
Cadwalader, Wickersham & Taft LLP
The proposed CFTC amendments to Rules Part 36 ("Trade Execution Requirement"), Part 37 and Part 43 were published in the Federal Register. Comments must be submitted by April 20, 2020.
Hogan Lovells
On February 15, 2019, the U.S. District Court for the Southern District of New York issued its ruling in the case of Aurelius Capital Master, Ltd. ("Aurelius") against Windstream Services...
FREE News Alerts
Sign Up for our free News Alerts - All the latest articles on your chosen topics condensed into a free bi-weekly email.
Popular Contributors
Upcoming Events
MAR26
Popular Authors
Tools
Font Size:
Translation
Mondaq Social Media