Mondaq USA: Finance and Banking
K&L Gates
The rapid rise of distributed ledger technology and the spate of recent initial coin offerings ("ICOs") have focused attention on whether, and in what circumstances, virtual currencies and digital tokens may be securities whose offer ...
K&L Gates
In a letter to the AIMA made available to AIMA members on Monday, August 7, the FCA responded to a request from AIMA seeking interpretation and guidance on MiFID II requirements...
Cadwalader, Wickersham & Taft LLP
The CFTC Division of Market Oversight ("DMO") granted time-limited no-action relief to market participants from certain exemption and notice-filing requirements related to the aggregation of positions.
Cadwalader, Wickersham & Taft LLP
The SEC Division of Economic and Risk Analysis ("DERA") issued a report on how Dodd-Frank and other financial regulations have impacted (i) access to capital and (ii) market liquidity.
Arnold & Porter Kaye Scholer LLP
On Aug. 1, 2017, the Office of the Comptroller of the Currency issued an advance notice of proposed rulemaking that represents the first concrete step toward reform of the regulations that implement the "Volcker Rule," ...
Kramer Levin Naftalis & Frankel LLP
The U.S. Senate voted unanimously to confirm the nomination of J. Christopher Giancarlo as CFTC chairman, as well as Brian D. Quintenz and Rostin Behnam were unanimously confirmed as Commissioners.
Kramer Levin Naftalis & Frankel LLP
Liquid alternative strategies continued to attract investor capital in the second quarter of 2017, according to the latest Wilshire Liquid Alternatives Industry Monitor.
Kramer Levin Naftalis & Frankel LLP
Despite a stable stock market and CBOE Volatility Index that reached a record intraday low in July, investor demand for volatility funds remains strong, according to Morningstar data that shows ...
Kramer Levin Naftalis & Frankel LLP
$2,500 minimum initial investment; $50 minimum subsequent investment
Kramer Levin Naftalis & Frankel LLP
Credit documents in lending transactions commonly contain a choice of forum provision setting forth the agreement of the parties to submit to the jurisdiction of the New York state courts...
K&L Gates
Recently, the Consumer Financial Protection Bureau (CFPB) promulgated its final arbitration agreement rule.
Cadwalader, Wickersham & Taft LLP
FINRA and the Securities Investor Protection Corporation agreed to simplify the annual report filing process for members.
Kramer Levin Naftalis & Frankel LLP
Adherence to the Protocol is now open and is not limited in time.
Mayer Brown
On August 2nd, Oregon Governor Katherine Brown signed legislation that provides for the licensing of residential mortgage loan servicers, Senate Bill 98 ("S 98"), the Oregon Mortgage Loan Servicer Practices Act (the "Servicer Act").
Kramer Levin Naftalis & Frankel LLP
On Aug. 2, 2017, the Board of Governors of the Federal Reserve System, FDIC and the Office of the Comptroller of the Currency (the OCC, and together with the Federal Reserve and the FDIC, the Regulators) ...
Cadwalader, Wickersham & Taft LLP
The Board of Governors of the Federal Reserve System ("FRB") requested public comment on two related proposals:
Kramer Levin Naftalis & Frankel LLP
In the most recent example of federal regulatory streamlining, the Commodity Futures Trading Commission (CFTC) announced on July 10 that it will undertake a comprehensive review...
Cadwalader, Wickersham & Taft LLP
House Committee on Financial Services ranking member Congresswoman Maxine Waters (D-CA) introduced a bill that would amend the current SEC process for waiving automatic disqualifications of "bad actors."
Cadwalader, Wickersham & Taft LLP
The CFTC Division of Market Oversight (the "Division") released the results of a rule enforcement review of the North American Derivatives Exchange, Inc. ("Nadex").
Cadwalader, Wickersham & Taft LLP
The report highlighted actions taken by Congressional Republicans to repeal the CFPB arbitration rule (see previous coverage) as examples of such efforts.
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Akin Gump Strauss Hauer & Feld LLP
The service was used in conjunction with crimes ranging from identity theft and fraud to drug trafficking.
Duane Morris LLP
Responding to concerns about the time and cost associated with completing real estate transactions, today the Federal Reserve Board, the Federal Deposit Insurance Corporation, and ...
Jones Day
Bank of the Ozarks garnered significant industry interest by merging its BHC into its bank on June 26, 2017.
Foley & Lardner
The court, however, ruled that the defendants were entitled the protection of the ABA exemption as a matter of law, and dismissed the Bureau's case.
Akin Gump Strauss Hauer & Feld LLP
Recent IRS guidance requires that non-U.S. investment funds currently relying on an FFI agreement for their FATCA compliance must renew such agreement on the IRS website by July 31, 2017...
Duff and Phelps
On May 3, 2017, FINRA will host a Compliance Bootcamp in New York City for its members and will provide guidance on cybersecurity.
Carlton Fields
This article also suggests a potential Rule of Civil Procedure remedy for some of the problems the rule creates.
WilmerHale
On July 12, 2017, the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) published new implementation guidance on the bond mark-up...
Duff and Phelps
Are you confident that your fixed assets are accurately represented in the year-end financial statements? Where do your property reported insurable values come from?
WilmerHale
An ICO, or initial coin offering, is the sale of virtual coins or tokens, often as a means of capital raising by startup companies that are involved in blockchain technology.
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