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Searching Content indexed under Finance and Banking by Mayer Brown ordered by Published Date Descending.
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1
Benefits Of Protected Contracts: Utilizing Repurchase Facilities And Securities Contracts As An Alternative To Standard Lending Arrangements
In addition, Repurchase Facilities are usually treated as loans for accounting and tax purposes by sellers and buyers.
United States
23 Aug 2019
2
Sale Or Assignment Of US Government Receivables – FACA Considerations
Buying and selling receivables, the obligor of which is the United States government, requires consideration of the Federal Assignment of Claims Act ("FACA").
United States
21 Aug 2019
3
URLA Preferred Language Question — More Flip-Flopping
Mandatory use of the redesigned URLA was originally set for February 2020.
United States
20 Aug 2019
4
Nasdaq Rule Changes To Initial Listing Standards Related To Liquidity Effective
Earlier this spring, the Nasdaq Stock Exchange (the "Nasdaq") filed a proposed amendment (the "Amendment") of its initial listing standards
United States
13 Aug 2019
5
Consignments: The Sports Authority Cases, Article 9 and the PEB
In her Secured Transactions column, Barbara M. Goodstein discusses two recent decisions in the Sports Authority bankruptcy which underscore the continuing challenge
United States
13 Aug 2019
6
Redlining In The News Again
Redlining is back in the news.
United States
9 Aug 2019
7
FINRA Sanctions A Brokerage For Failure To Reasonably Supervise Securities Transactions
FINRA found that Dealer received but did not review the alerts.
United States
6 Aug 2019
8
FINRA Increases Margin Requirements For ETNs And Options On ETNs
Debt securities, which include ETNs, are margin securities.
United States
6 Aug 2019
9
Capital Markets Tax Quarterly - Volume 2, Issue 2
Q2 2019 started out with a great deal of hope in the world of capital markets taxation.
United States
6 Aug 2019
10
Brokerage Firm Granted Summary Judgment In Reverse Convertible Notes Class Action
On July 11, 2019, the U.S. District Court for the District of Minnesota granted a brokerage firm motion for summary judgment in a class action filed by customers alleging the loss of approximately $1.1 million ...
United States
5 Aug 2019
11
FINRA Reminds Firms Of Their TRACE Reporting Obligations
FINRA recently issued a Trade Reporting Notice to remind firms they must report any transaction in a "TRACE-Eligible Security" unless an exception applies.
United States
5 Aug 2019
12
The SEC Adds Its Voice To The LIBOR Chorus
In a public statement dated July 12, 2019, the SEC's Divisions of Corporation Finance, Investment Management and Trading and Markets, and the Office of the Chief Accountant, encouraged market participants ...
United States
5 Aug 2019
13
OCC Bulletin On Asset Dissipation – The Art And Science Of Underwriting
While banks must be prudent and follow applicable regulations, the latest guidelines from the Office of the Comptroller of the Currency may allow banks to justify a nuanced asset dissipation or depletion underwriting program, ...
United States
1 Aug 2019
14
FINRA Proposed Amendments To Rules 5130 And 5131
FINRA Proposed Amendments to Rules 5130 and 5131.
United States
1 Aug 2019
15
Concept Release On Harmonization Of Securities Offering Exemptions
Concept release on harmonization of securities offering exemptions.
United States
31 Jul 2019
16
CFPB To Rip Off The Patch?
The CFPB set the expiration date for the temporary QM category at five years.
United States
31 Jul 2019
17
FINRA Resource On Private Placement Filings
FINRA has released guidance, in question-and-answer format, with respect to FINRA member firm requirements to make filings under FINRA Rule 5122 and Rule 5123.
United States
31 Jul 2019
18
FINRA Corporate Financing Rule Amendment
Exhibit 4 shows the changes proposed in this Partial Amendment No. 1 in a blacklined version.
United States
31 Jul 2019
19
Market Trends 2018/19: Medium-Term Note Programs
This market trends article examines recent trends regarding medium-term note programs, providing an overview of the market in 2018 and 2019 with a focus on general deal structure and process, recent deal terms...
United States
30 Jul 2019
20
Key Compliance Considerations From DOJ's New Redlining Settlement
Last month, the United States Department of Justice ("DOJ" or the "Department") settled redlining claims against First Merchants Bank, an Indiana-based bank regulated by the Federal Deposit Insurance Corporation.
United States
30 Jul 2019
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