Mondaq USA: Finance and Banking > Financial Services
Seyfarth Shaw LLP
Hopefully still in time for 2019 plan design discussions, on November 9, 2018, the Department of the Treasury and the Internal Revenue Service (IRS) issued a Notice of Proposed Rulemaking to amend IRS regulations related to hardship distributions from 401(k) and 403(b) plans
Troutman Sanders LLP
As America's check collection system continues to move away from being paper-based, the Federal Reserve Board is updating the liability provisions of Regulation CC to reflect this reality.
Cadwalader, Wickersham & Taft LLP
The SEC made a correction to Form ATS-N, a form relating to disclosure requirements for alternative trading systems that trade in National Market System stocks ("ATSs").
Cadwalader, Wickersham & Taft LLP
The CFTC final rule amending the definition of "swap dealer" was published in the Federal Register. The rule is effective as of November 13, 2018.
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to settle FINRA charges for failure to identify and apply mutual fund sales charge waivers to eligible retirement accounts and charitable organizations.
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to pay $215,000 to settle FINRA charges for failing to comply with close-out obligations in connection with delivery fails resulting from sales of equity securities, as requ
Stroock & Stroock & Lavan LLP
On October 31, 2018, the Department of the Treasury and the Internal Revenue Service ("IRS")
Mayer Brown
With apologies to the Temptations, the title to their classic song seems to apply to the current state of leveraged lending and other supervisory guidance issued by various regulatory agencies...
Carlton Fields
Imputation of Implied Actual Notice: the fact that an unrelated purchaser of property was aware that seller was being sued on an unsecured indebtedness did not create a legal duty...
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to pay $50,000 to settle FINRA charges that it failed to "establish, document, and maintain" a system of adequate risk management controls and supervisory...
Cadwalader, Wickersham & Taft LLP
A German-based bank agreed to pay $12 million to settle CFTC charges for failing to sufficiently supervise swap dealer ("SD") activities.
Kramer Levin Naftalis & Frankel LLP
Paris counsel Pierre Storrer's article "Nouveaux services de paiement : le gestionnaire de compte doit-il vérifier le consentement de son titulaire lorsqu'il y donne accès ?" was published in Banque ...
Cooley LLP
Officials at the SEC all seem to be singing the same tune these days, emphasizing the need to amp up company disclosures regarding Brexit, the LIBOR phase-out and cybersecurity.
Troutman Sanders LLP
Plaintiff Mitchell Maes alleged that Charter Communication repeatedly called his cell phone using a predictive dialer.
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
The SEC's recent actions suggest that the SEC is attempting to avoid that result.
Cadwalader, Wickersham & Taft LLP
This case illustrates that the misconduct involved in spoofing may also provide the basis for a charge of price manipulation.
Cadwalader, Wickersham & Taft LLP
The FRB's report is a worthy read, offering transparency on several fronts.
Cadwalader, Wickersham & Taft LLP
Mr. Quarles stated that elements of the proposal to integrate stress testing with the stress capital buffer will be amended after receiving public comment.
Cadwalader, Wickersham & Taft LLP
The OCIE is interested in how the operation of these funds may impact retail investors.
BakerHostetler
Below is this week's "Capitol Hill Healthcare Update," which is posted on Mondays when Congress is in session.
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Mayer Brown
California enacts a first-of-its-kind legislation imposing disclosure requirements on commercial purpose loans similar ...
Troutman Sanders LLP
Non-bank lenders to small businesses need to be on alert after Governor Brown signed California Senate Bill 1235 into law on September 30, 2018.
Lewis Roca Rothgerber Christie LLP
A recent change to California law significantly limits the ability of debt collectors to collect a time-barred consumer debt. Effective January 1, 2019, amendments to the Rosenthal Fair Debt Collection Practices Act ...
Ropes & Gray LLP
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
Mayer Brown
RegTech may be particularly helpful as FINRA members begin to engage in electronic structured products trading platforms.
Ruchelman PLLC
A participating F.F.I. files Form 8966, F.A.T.C.A. Report, annually with the I.R.S. The
Kramer Levin Naftalis & Frankel LLP
Destra Capital Investments and LCM Investment Management agreed that Destra will sub-distribute Multi-Strategy Growth & Income Fund, a closed-end interval fund.
Dentons
On October 10, 2018, the Treasury Department, as chair of the Committee on Foreign Investment in the United States, issued interim regulations implementing certain mandatory review provisions of the Foreign Investment Risk Review Management Act ...
Milbank, Tweed, Hadley & McCloy LLP
Law students interested in practicing transactional law, from M&A to securities transactions, often ask how much business experience and training they need in order to launch a successful career.
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