Mondaq USA: Finance and Banking
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 ...
Arnold & Porter
On August 8, 2018, the FinCEN extended for an additional 30 days the exceptive relief granted to covered financial institutions from collecting beneficial ownership information on certain accounts...
Cadwalader, Wickersham & Taft LLP
The CFTC proposed amendments to codify policies and procedures for organizations located outside of the U.S. to obtain an exemption from registration as a derivatives clearing organization ("DCO").
Cadwalader, Wickersham & Taft LLP
The SEC charged the U.S. Representative for New York's 27th Congressional District, his son and a third individual with insider trading.
Cadwalader, Wickersham & Taft LLP
The Financial Crimes Enforcement Network ("FinCEN") extended previously granted relief that temporarily exempts certain products and services from the Beneficial Ownership Rule.
Cadwalader, Wickersham & Taft LLP
The Global Foreign Exchange Committee ("GFXC") published an updated version of the FX Global Code (the "Code") and highlighted recent GFXC developments and near-term priorities.
Mayer Brown
Many of the issues related to these nontraditional custom indices are familiar to those who are aware of the regulatory attention paid to complex products over the years.
Mayer Brown
Material conflicts of interest arising from financial incentives are treated differently under the Regulation, as those conflicts must be mitigated or eliminated, whereas other material conflicts of interest may be resolved with disclosure only.
Mayer Brown
This note is not intended to set forth an exhaustive list of comments that the Staff can issue relating to a REIT's use of non-GAAP financial measures.
Kramer Levin Naftalis & Frankel LLP
The Closed-End Fund Center held a Q&A with Jeremy Held, Senior Vice President and Director of Research for ALPS, Jeremy Goff, Managing Director for Tortoise, and Brody Browe
Kramer Levin Naftalis & Frankel LLP
AllianceBernstein reached an agreement with iCapital Network for a white label platform to allow high-net-worth investors at registered investment advisory firms ...
Cadwalader, Wickersham & Taft LLP
The FRB final rule implementing single-counterparty credit limits for certain U.S. bank holding companies and foreign banking organizations operating in the United States was published in the Federal Register.
Cadwalader, Wickersham & Taft LLP
The Financial Stability Board, the Basel Committee on Banking Supervision, the Committee on Payments and Market Infrastructures and IOSCO
Troutman Sanders LLP
We have posted several new topics to the Consumer Financial Services Law Monitor blog throughout the month of July. To read further, click on the titles below:
Mayer Brown
A registered direct offering is a type of hybrid securities offering, meaning that the offering methodology has certain characteristics associated with a public offering and certain characteristics...
Troutman Sanders LLP
Currently, some courts allow borrowers to bring Fair Debt Collection Practices Act claims for non-judicial foreclosures while other courts do not, but that is about to change.
Schnader Harrison Segal & Lewis LLP
Drivers who use New Jersey's toll roads can pat themselves on the back because the tolls they pay help fund a public benefit.
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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 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.
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.
Davis & Gilbert
Observing the rising tide of borrower delinquencies in subprime auto lending, I'm reminded of that famous outburst by the former NFL coach, Dennis Green.
Shearman & Sterling LLP
On June 21, 2018, following consultation on draft guidance in November 2017, the Financial Stability Board published two finalized guidance papers on aspects of the recovery and resolution ...
Shearman & Sterling LLP
On June 21, 2018, the U.S. Board of Governors of the Federal Reserve System announced the results of the eighth and latest round of Dodd-Frank Act stress testing.
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.
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