Mondaq USA: Finance and Banking
Orrick
On the March 27, the European Parliament issued a press release announcing that it has adopted its position at first reading on the proposed Regulation on European crowdfunding service providers
BakerHostetler
Two bills making their way through Congress are taking aim at the practice of including binding arbitration agreements in consumer-facing contracts, particularly those in financial industry contracts.
Mayer Brown
Montana may be, like New Mexico and possibly Colorado,1 permitting utility tariff bonds related to certain electrical generating plant retirements.
BakerHostetler
Welcome to the 2018 Year-End Report from BakerHostetler's Financial Services Industry Team.
Cadwalader, Wickersham & Taft LLP
The House Financial Services Committee voted to advance a revised version of the Secure and Fair Enforcement Banking Act of 2019 (the "SAFE Act").
Cadwalader, Wickersham & Taft LLP
A Federal Reserve Board, the FDIC and the Office of the Comptroller of the Currency proposal requiring U.S. global systemically important banking organizations ...
Cadwalader, Wickersham & Taft LLP
The CFTC Division of Swap Dealer and Intermediary Oversight granted a non-U.S. financial institution temporary no-action relief from the requirement ...
Cadwalader, Wickersham & Taft LLP
FINRA proposed to extend the pilot period relating to FINRA Rule 6121.02 ("Market-Wide Circuit Breakers in NMS Stocks") until October 18, 2019.
Cadwalader, Wickersham & Taft LLP
The Federal Reserve Board ("FRB") proposed to implement the "tailored" application of the prudential requirements to foreign banking organizations ("FBOs").
Orrick
On March 26, the CFTC approved an amended comparability determination that would extend the substituted compliance permitted for Japan's margin requirements for uncleared swaps with respect to the scope of entities...
Mayer Brown
Joining other coastal states (including Florida, Louisiana and Texas1), North Carolina (NC) is considering permitting utility tariff bonds for storm recovery.
Orrick
On March 25, the CFTC adopted a final rule amending the de minimis exception to the definition of "swap dealer."
Orrick
On March 27, 2019, the CFTC approved a comparability determination of Australia's margin requirements for uncleared swaps, finding the requirements comparable to U.S. requirements for substituted compliance purposes.
Orrick
On March 28, 2019, the CTFC approved final rule amendments that simplify registrants' obligations in regulations governing the segregation of assets held as collateral in uncleared swap transactions...
Orrick
On March 25, the CFTC adopted and requested comments on an interim final rule designed to provide greater regulatory certainty to global derivatives markets in the event of a "no-deal Brexit."
Orrick
On March 29, 2019, the CTFC provided relief intended to encourage prime brokers to trade swaps on swap execution facilities by excusing certain pre-trade disclosures.
Orrick
On March 28, ESMA fined three credit rating agencies, all belonging to the Fitch Group, a total of €5,132,500, in relation to breaching the conflict of interest requirements under the CRA Regulation (1060/2009) (CRAR).
Mayer Brown
Bylined article by Insurance Regulatory partner Lawrence Hamilton (Chicago), Financial Services Regulatory & Enforcement partners Jeffrey Taft and Matthew Bisanz (both Washington, DC).
Jones Day
It also demonstrates how difficult it can be for applicants to comply with New York's strict requirements.
Cadwalader, Wickersham & Taft LLP
The U.S. Senate, by a 52-44 party-line vote, confirmed Mark Calabria as Director of the Federal Housing Finance Agency ("FHFA"). Mr. Calabria will succeed FHFA Acting Director Joseph Otting.
Latest Video
Most Popular Recent Articles
Ruchelman PLLC
On August 8, 2018, the I.R.S. issued much-awaited proposed regulations under new Code §199A, which was added by the 2017 Tax Cuts and Jobs Act. The provision was initially discussed in detail in our February 2018 edition.
Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Stroock & Stroock & Lavan LLP
On March 20, 2019, the Supreme Court issued its much-anticipated decision in Obduskey v. McCarthy & Holthus LLP,
Holland & Knight
New legislation has been proposed in Pennsylvania imposing specific restrictions and parameters on interest rate swaps entered into by certain cities, counties and municipal authorities in the Commonwealth.
Mayer Brown
This article summarizes some of the key trends to watch in 2019 in the consumer asset-backed securities (non-mortgage) space ...
Hogan Lovells
The FSB's Official Sector Steering Group has welcomed this outcome.
Mayer Brown
RegTech may be particularly helpful as FINRA members begin to engage in electronic structured products trading platforms.
Arnold & Porter
For all the headlines and law firm advisories that pore over the Department of Justice's (DOJ) annual False Claims Act (FCA) ...
Orrick
In this short piece, Todd Schneider, partner at debt arranging firm Spinta Capital, and Dolph Hellman, partner at law firm Orrick, Herrington & Sutcliffe LLP,
Intertrust
If you're a fund manager of a partnership investing in the United States, you need to prepare for new audit rules enacted by the IRS.
Article Search Using Filters
Related Topics
Mondaq Advice Center (MACs)
Popular Authors
Popular Contributors
Up-coming Events Search
Tools
Font Size:
Translation
Channels
Mondaq on Twitter
Partners
In association with