Mondaq USA: Finance and Banking > Financial Services
Cohen & Company
On April 17, 2019, the Department of Treasury issued the second set of proposed regulations regarding the Qualified Opportunity (QO) Zone Program.
Cohen & Company
Actively managed exchange traded funds have historically been required to provide portfolio transparency on a daily basis — showing all of their cards, so to speak, and leaving their investment strategies vulnerable for the taking.
Sheppard Mullin Richter & Hampton
FinCEN has issued updated guidance addressing the use of crypto currency and other convertible virtual currency (CVC).
Lowndes, Drosdick, Doster, Kantor & Reed, P.A.
Section 199A introduced a new 20% deduction for qualified business income (previously discussed here). To qualify for the deduction, income must be from a trade or business.
Mayer Brown
Just two months after financial institutions submitted their so-called "new" data as required under the HMDA, the CFPB is considering whether to eliminate or revise the requirement to collect and report those...
Cadwalader, Wickersham & Taft LLP
The CFTC charged a former commodities trading company executive with attempting to conceal losses in a trading book.
Cadwalader, Wickersham & Taft LLP
The Federal Reserve Board ("FRB") concluded that the financial sector appears resilient "with low leverage and limited funding risk" despite the volatility in the markets last year.
Cadwalader, Wickersham & Taft LLP
A bipartisan group of Attorneys General from thirty-three states and five U.S. territories urged Congress to establish a safe harbor for financial institutions providing services to state-licensed cannabis businesses.
Jones Day
Following up on its September market consultations for FRNs and syndicated loans, the ARRC published final recommended fallback language for both products on April 25, 2019.
Dickinson Wright PLLC
The IRS is actively working with the State Department to deny passport applications and revoke existing passports of taxpayers with delinquent tax debts of $52,000 or more.
Dentons
The end of 2018 was inaugurated with large-scale amendments to Russian securities market legislation aimed at improving the legal framework of the securities issuance procedure.
Dentons
Drafting loan documents to deal with the new Banking Code of Practice is a major challenge. This report explains why.
Cooley LLP
On March 5, the FTC announced proposed amendments to the Standards for Safeguarding Customer Information under the Gramm-Leach-Bliley Act ("Safeguards Rule" or "Rule").
Mayer Brown
On Thursday (May 2, 2019), a federal district court in the Southern District of New York issued an order allowing the New York Department of Financial Services (DFS) to proceed with a lawsuit
Ruchelman PLLC
The Federal Taxpayer Identification Number ("T.I.N.") used by entities is the Employer Identification Number ("E.I.N."). The E.I.N. application (both online and using Form SS-4)
Dentons
Following a rapid deterioration in US-China trade negotiations, the USTR this morning published an official notice in the Federal Register that it is increasing to 25 percent from 10 percent tariffs levied...
Orrick
Recently, the Staffs of the SEC and FINRA announced their annual examination and regulatory priorities: the SEC's Office of Compliance, Inspections and Examinations issued its 2019 Examination Priorities ...
Cadwalader, Wickersham & Taft LLP
An annuities firm agreed to settle FINRA charges for misrepresenting the nature of a portfolio containing several retirement bond funds to 401(k) sponsors and participants.
Cadwalader, Wickersham & Taft LLP
Several industry associations proposed amendments to an SEC-proposed new rule intended to "streamline and enhance" the regulatory framework for "fund of funds arrangements"
Cadwalader, Wickersham & Taft LLP
CFTC Chair J. Christopher Giancarlo urged U.S. regulators to clarify obligations for dealers to exchange initial margin ("IM") where requirements are below the $50 million threshold amount
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Ruchelman PLLC
On August 8, 2018, the I.R.S. issued much-awaited proposed regulations under new Code ง199A, which was added by the 2017 Tax Cuts and Jobs Act. The provision was initially discussed in detail in our February 2018 edition.
Holland & Knight
The U.S. Court of Appeals for the First Circuit has affirmed a controversial ruling regarding the treatment of municipal revenue debt.
Ropes & Gray LLP
The following summarizes recent legal developments of note affecting the registered fund/investment ...
Cahill Gordon & Reindel LLP
How Banks and Regulators are Already Re-shaping GDPR Requirements – Seven Lessons for You.
Duane Morris LLP
On April 17, 2019, the Department of Treasury released a second set of proposed regulations for the Opportunity Zone legislation (the first set of regulations was released in October 2018),
Ostrow Reisin Berk & Abrams
According to the Wall Street Journal, cash was the best performing asset class in 2018. However, many investors shy away from cash investments, such as Treasury bills, money market funds and savings accounts.
Davis & Gilbert
Take care of your business at home, before searching for greener pastures. It's a key takeaway from Part One of our interview regarding subprime auto.
Duff and Phelps
Buyers continue to have very specific criteria as they evaluate acquisition targets.
Lewis Roca Rothgerber Christie LLP
There are a myriad of reasons why registered representatives and investment advisor representatives elect to change firms. These include product offerings, technology platforms,
Mayer Brown
A consortium of 12 insurance underwriters led by Liberty GTS recently paid a €50 million claim under a W&I liability insurance policy issued in connection with FSN Capital's acquisition of Gram Equipment.
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