Mondaq USA: Finance and Banking
Shearman & Sterling LLP
The revised SREP Guidelines and the stress testing Guidelines will apply from January 1, 2019.
Shearman & Sterling LLP
On July 31, 2018, the U.S. Office of the Comptroller of the Currency released an updated version of the Comptroller's Licensing Manual Business Combinations booklet.
Shearman & Sterling LLP
On July 31, 2018, the U.S. Office of the Comptroller of the Currency released an updated version of the Comptroller's Licensing Manual Business Combinations booklet.
Arnold & Porter
On August 9, 2018, the New York State DFS issued four additional FAQs relating to its cybersecurity regulation, including guidance on how Covered Entities should address cybersecurity issues relating to their BHCs.
Shearman & Sterling LLP
On July 18, 2018, U.S. Board of Governors of the Federal Reserve System Vice Chairman for Supervision, Randal Quarles, discussed the tailoring of supervision and regulation for large financial institutions
Schnader Harrison Segal & Lewis LLP
The California Financial Code imposes caps on the interest rates that lenders may charge on consumer loans for less than $2,500.
Mayer Brown
The New York Stock Exchange LLC ("NYSE") proposes to amend Rule 2 to remove the FINRA or other national securities exchange membership requirement for member organizations.
Mayer Brown
Last month's announcement by FINRA marks the completion of the consolidation of FINRA's enforcement functions under the leadership of Susan Schroeder.
Mayer Brown
Beginning January 1, 2019, public-company borrowers will face a change to the treatment of leasing transactions under US Generally Accepted Accounting Principles ("GAAP") ...
Cadwalader, Wickersham & Taft LLP
The Federal Reserve Board ("FRB") fined a bank holding company for alleged improper execution of residential mortgage-related documents.
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to pay $875,000 to settle FINRA charges that it violated the Custody Rule (Exchange Act Rule 15c3-3) and several related FINRA rules.
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to settle FINRA charges for allegedly failing to reasonably supervise mutual fund sales to ensure that eligible customers received ...
Cadwalader, Wickersham & Taft LLP
FINRA proposed amending its security futures risk disclosure statement to reflect that Securities Investor Protection Corporation's protection for customer cash ...
Cadwalader, Wickersham & Taft LLP
In a new report on interconnectedness and systemic risk, IOSCO, the Financial Stability Board, the Committee on Payments and Market Infrastructures ...
Cadwalader, Wickersham & Taft LLP
FINRA released its first annual "Industry Snapshot," a publication containing year over year data on trading activity and statistics on FINRA-registered firms and representatives.
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
On July 24, 2018, the Securities and Exchange Commission proposed rule amendments that would simplify the financial disclosure requirements applicable to registered debt offerings for guarantors ...
Mayer Brown
Offering documents for structured certificates of deposit make clear that the dealers selling the CDs will not make a market in the CDs.
Cadwalader, Wickersham & Taft LLP
The Board of Governors of the Federal Reserve System ("FRB") proposed a revision to a report that must be completed in connection with capital assessments and stress testing requirements.
Cadwalader, Wickersham & Taft LLP
The National Futures Association ("NFA") Business Conduct Committee brought a Complaint against a commodity pool operator ...
Shearman & Sterling LLP
The report was prepared in conjunction with the Egmont Group of financial intelligence units.
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
BakerHostetler
On Dec. 5, 2017, the Federal Trade Commission reached a settlement with three defendants who it alleged partook in deceptive, abusive and unfair debt collection practices ...
Schnader Harrison Segal & Lewis LLP
The FDCPA requires that a debt collector attempting to collect a debt notify a consumer that (1) "unless the consumer . . . disputes the validity of the debt . . . the debt will be assumed to be valid by the debt collector," and ...
Cadwalader, Wickersham & Taft LLP
ISDA initiated a "market-wide consultation" on issues concerning new benchmark fallbacks for derivatives contracts that reference certain interbank offered rates ("IBORs").
Shearman & Sterling LLP
On July 11, 2018, the FICC Markets Standards Board launched a consultation on a transparency draft of a Statement of Good Practice on algorithmic trading in the wholesale fixed income, commodity and currency markets.
Shearman & Sterling LLP
On April 16, 2018, President Donald Trump announced his intent to nominate Michelle Bowman and Richard Clarida to serve as Members of the U.S. Board of Governors of the Federal Reserve System.
Cadwalader, Wickersham & Taft LLP
The ARRC reaffirmed its support for the "global reform agenda to transition to alternative risk-free rate benchmarks," as well as its commitment to helping uphold the "safety and soundness"...
Shearman & Sterling LLP
On June 28, 2018, the U.S. Commodity Futures Trading Commission and the Securities and Exchange Commission approved a new Memorandum of Understanding between the two agencies.
Shearman & Sterling LLP
On July 12, 2018, the Financial Stability Board published a statement welcoming the consultation by the International Swaps and Derivatives Association on fallbacks ...
Shearman & Sterling LLP
On July 11, 2018, the FDIC announced updates to four of its interagency forms: (i) the Biographical and Financial Report (OMB Control Number 3064-0006); (ii) the Bank Merger Act Application ...
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