Searching Content indexed under Finance and Banking by Sheppard Mullin Richter & Hampton ordered by Published Date Descending.
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U.S. House Of Representatives Passes SAFE Banking Act
U.S. House lawmakers on Wednesday approved overwhelmingly by a 321-103 vote the SAFE Banking Act.
United States
2 Dec 2019
In A Historic Move, House Judiciary Committee Moves To Federally Legalize Cannabis
On November 20, 2019, the House Judiciary Committee approved a bill that would decriminalize cannabis on a nationwide scale.
United States
28 Nov 2019
Regulatory Moves Show Financial Watchdogs Working Smarter, If Not Harder
To gain insight into where the Securities and Exchange Commission ("SEC") and Commodity Futures Trading Commission ("CFTC") have been focusing their oversight and what their priorities will be in ...
United States
21 Nov 2019
Spoofing Enforcement Intensifies
U.S. regulators, in particular the Commodity Futures Trading Commission ("CFTC"), are intently pursuing market manipulation enforcement.
United States
12 Nov 2019
New York's Department Of Financial Services: The Self-Styled "Regulator Of The Future"
Under its new leader, the New York Department of Financial Services ("DFS") has staked out high ground for itself by self-identifying...
United States
7 Oct 2019
Fifth Circuit Affirms Enron Broker Not Liable To Employee Stock Option Holders For False Or Withheld Information
Ending a more than 15-year-long legal battle, the Fifth Circuit on May 24, 2019, unanimously affirmed the dismissal of a proposed class action against subsidiaries of UBS AG, alleging violations of U.S. securities laws...
United States
23 Aug 2019
Increase In Regulatory Expense For Debtor-In-Possession Revolving Credit Facilities
The United States Court of Appeals for the Seventh Circuit held that payments made by a debtor's customers to its lender converting a pre-petition loan to a post-petition loan constituted
United States
22 Aug 2019
It's All About Capital
In 2018, securitization provided an estimated $13.1 trillion in financing. Contrast that with the US $10.24 trillion issued at the end of the 2nd quarter of 2008
United States
14 Aug 2019
Proposed And Expanded Disclosure Obligations For Hospitals Regarding Not Only Gross Charges, But Third Party Payor Pricing As Well
On July 29, 2019, CMS released its proposed outpatient prospective payment system ("OPPS") rule outlining a variety of changes it may implement for calendar year 2020.
United States
8 Aug 2019
New Bill Seeks To Bring Clarity To Insider Trading Law
On May 7, 2019, Representative James Himes (D-Conn) introduced the "Insider Trading Prohibition Act" (H.R. 2534). The proposed legislation would amend the Securities and Exchange Act of 1934
United States
6 Aug 2019
Opportunity Zones Update New Proposed Treasury Regulations (Part III)
The Opportunity Zone tax incentive program allows taxpayers that invest in a Qualified Opportunity Fund to (i) defer paying taxes on the capital gain from the sale or exchange of appreciated assets;
United States
18 Jul 2019
Opportunity Zones Update: New Proposed Treasury Regulations (Part II)
In December 2017, as part of the Tax Cuts and Jobs Act ("TCJA"), Congress established a new tax incentive program to promote investment in certain low-income communities
United States
5 Jun 2019
CFTC Allows Certain Dealers And Merchants To Avoid Annual Privacy Notice
Beginning May 28, 2019 certain dealers and merchants will be able to avoid sending out an annual privacy notice, under a revision the Commodity Futures Trading Commission
United States
27 May 2019
What Game Companies Need To Know About FinCEN's Updated Guidance On Virtual Currency
FinCEN has issued updated guidance addressing the use of crypto currency and other convertible virtual currency (CVC).
United States
21 May 2019
Where Is The Love? Exchanges Sue SEC Over Market Access Fee Pilot Program
Three prominent trading exchanges did not exactly show their government overseer the love this Valentine's week.
United States
8 Mar 2019
New York Department Of Financial Services Releases Letter Regarding Third Party Data Sources
In a recent letter, the New York Department of Financial Services provided guidance for insurers who use third party data to help with their underwriting decisions.
United States
1 Mar 2019
Expansion Of Regulation A To Reporting Companies: Increased Alternatives Now Available To Public Companies Seeking To Raise Capital Or For Mergers And Acquisitions
On December 19, 2018, the SEC announced that it had adopted final rules that allow reporting companies to rely on the Regulation A exemption from registration for their securities offerings.
United States
7 Feb 2019
FINRA Announces 2019 Regulatory Priorities
On January 22, 2019, the Financial Industry Regulatory Authority, Inc. ("FINRA") released its annual priorities letter highlighting its regulatory program's points of emphasis for the coming year.
United States
5 Feb 2019
The Effects Of The SEC Shutdown On The Capital Markets
Although EDGAR continues to accept filings, the government shutdown has now eclipsed its 28th day and the SEC continues to operate with limited staff which is having a crippling effect
United States
24 Jan 2019
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