Mondaq USA: Finance and Banking > Financial Services
Cahill Gordon & Reindel LLP
Recent litigation involving the telecommunications company Windstream Services, LLC and Aurelius Capital Master, Ltd. has heightened market focus on noteholders that, through derivatives, take an economic interest ...
Cahill Gordon & Reindel LLP
FINRA Supplements Prior Guidance on Credit for Extraordinary Cooperation.
Dentons
What is one critical factor that will make or break a start-up? Entrepreneurs will have an unequivocal answer to this question: Funding. Rounds and rounds of funding
BakerHostetler
The Commodity Futures Trading Commission (CFTC) has announced approval of LedgerX's registration as a designated contract market (DCM) under the Commodity Exchange Act and CFTC regulations.
BakerHostetler
On May 2, 2019, Judge Colleen McMahon of the Southern District of New York ruled that the government effectively outsourced a portion of its ongoing investigation of LIBOR manipulation at
Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for failing to ensure that certain equity traders had passed appropriate FINRA qualification examinations
Cadwalader, Wickersham & Taft LLP
In a FINRA disciplinary proceeding, the Department of Enforcement alleged that two former general securities representatives failed to report private securities transactions and outside business activities ("OBAs").
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
On July 31, 2019, Judge George H. Wu of the U.S. District Court for the Central District of California released tentative findings of fact and conclusions of law
Cleary Gottlieb Steen & Hamilton LLP
Late on Friday, August 2, 2019, the U.S. Administration announced that it would implement a second wave of sanctions under the Chemical and Biological Weapons Control and Warfare Elimination
Cleary Gottlieb Steen & Hamilton LLP
On June 21, 2019, the SEC adopted final rules that set forth: (1) capital and margin requirements for security‑based swap dealers and major SBS participants for which there is not a Prudential Regulator; ...
Norton Rose Fulbright Canada LLP
Glen Barrentine, who recently joined as Of Counsel in the New York Office of Norton Rose Fulbright, has extensive experience in regulatory, compliance
Kramer Levin Naftalis & Frankel LLP
In a continuing effort to address the advent of narrowly tailored credit events (NTCEs) in the CDS market, ISDA is now preparing for the implementation of the changes designed to deter market participants from running these strategies.
Morrison & Foerster LLP
On August 8, 2019, Fannie Mae and Freddie Mac (GSEs) announced that the revised uniform residential loan application
Cadwalader, Wickersham & Taft LLP
Several trade associations provided feedback on key areas of central counterparty ("CCP") default management auctions.
Morrison & Foerster LLP
On August 5, the Board of Governors of the Federal Reserve System (Board) issued a notice and request for comment (Notice) on its determination that the Federal Reserve Banks (Reserve Banks)
Ropes & Gray LLP
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
Sheppard Mullin Richter & Hampton
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
DLA Piper
This regular publication from DLA Piper focuses on helping banking and financial services clients navigate the ever-changing federal regulatory landscape.
Ropes & Gray LLP
The Second Circuit concluded in Oxford University Bank v. Lansuppe Feeder, Inc. that Congress' intent in enacting Section 47(b) was to grant contracting parties a right to sue for rescission of a contract that allegedly violates the ICA. In recent years,
Eide Bailly LLP
Many taxpayers and nonprofit organizations entered the 2018 tax year unsure of how the provisions of the Tax Cuts and Jobs Act would ultimately affect their charitable giving.
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Eisner Amper
Alternative investments ("Alts") continue to play a major role in satisfying limited partner ("LP") return objectives. How are investors viewing these opportunities in 2019 and beyond?
Arnold & Porter
This article describes current trends and developments during 2018 in the sovereign bond financing market.
Shearman & Sterling LLP
On 29 March 2019, ESMA updated its Q&A documents in relation to the implementation of the Market Abuse Regulation (MAR) and the Alternative Investment Fund Manager Directive (AIFMD).
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.
Eisner Amper
Behind the brush strokes of innovative asset managers on their canvas of committed capital lies an increasingly unpredictable easel of political volatility.
Cozen O'Connor
Iowa AG Tom Miller issued a statement regarding the legality of hemp and cannabidiol products under state law after Congress passed the Agriculture Improvement Act of 2018 legalizing CBD derived from industrial hemp ...
Mayer Brown
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.
Mayer Brown
With the maturing, growth and increasing importance of defined contribution plans to the retirement security of US employees
Mayer Brown
In 1977, gas cost 62 cents per gallon; the first Apple II computers became available for sale; even the most primitive mobile phones were
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