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1
Welcome WCAG 2.1 – Website Accessibility Guidelines Have Been Refreshed
Our colleague Joshua A. Stein at Epstein Becker Green has a post on the Hospitality Labor and Employment Law blog that will be of interest to our readers in the financial services industry
United States
24 Sep 2018
2
In Case You Missed It: Consumer Financial Services Law Monitor - August In Review
We have posted several new topics to the Consumer Financial Services Law Monitor blog throughout the month of August.
United States
24 Sep 2018
3
CFTC Grants CPO Delegation Relief To Unaffiliated Entities - September 14, 2018
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") affirmed that it would not recommend any enforcement action against several commodity pool operators ("CPOs") for failing to register as a CPO.
United States
23 Sep 2018
4
FINRA Urges Firms To Review Contracts With Recordkeeping Service Providers
FINRA advised firms using third-party recordkeeping service providers ("providers") to ensure that contracts comply with recent guidance issued by the SEC Division of Trading and Markets staff.
United States
23 Sep 2018
5
CFTC Grants CPO Relief From 30-Day Quarterly Account Statement Delivery Requirement
The CFTC Division of Swap Dealer and Intermediary Oversight granted exemptive relief to a commodity pool operator ("CPO") from the requirement to deliver quarterly account statements to pool participants within 30 days of each quarter.
United States
23 Sep 2018
6
Affiliated Broker-Dealers Settle SEC Charges In Connection With Operation Of Dark Pool
Two affiliated broker-dealers agreed to settle SEC charges for allegedly misleading institutional customers regarding the operation of a dark pool.
United States
23 Sep 2018
7
Using Cap Rates To Value Multifamily Rental Properties
When potential buyers seek financing to acquire a multifamily rental building in an urban area, the obvious first question is the value of the underlying asset. Prospective borrowers and lenders...
United States
21 Sep 2018
8
CFTC Commissioner Quintenz Analyzes Post-Crisis Reforms
CFTC Commissioner Brian Quintenz discussed ways in which he believes a lack of transparency during the financial crisis has been addressed ...
United States
21 Sep 2018
9
SIFMA And BPI Offer Recommendations On Resolution Planning Guidance
SIFMA and the Bank Policy Institute (collectively, the "associations") submitted comments to the Federal Reserve Board and the FDIC (collectively, the "agencies") ...
United States
21 Sep 2018
10
No Uniform Fiduciary Standard – Not So Fast Says New Jersey
Earlier this week, New Jersey Governor Phil Murphy announced that the New Jersey Bureau of Securities would start rulemaking to "impose a fiduciary duty on all New Jersey investment professionals.
United States
21 Sep 2018
11
U.S. Resolution Stay Regulations – Final Rules And ISDA Protocol
As regulators in Europe and elsewhere have done, U.S. banking regulators have introduced new regulations designed to facilitate the resolution of a global systemically important bank (GSIB).
United States
21 Sep 2018
12
ISDA Publishes 2018 U.S. Resolution Stay Protocol: Considerations For The Buy Side
ISDA recently published the ISDA 2018 U.S. Resolution Stay Protocol, which is now open for adherence.
United States
21 Sep 2018
13
Dodd-Frank Reform Creates New Strategic Considerations For Community Banks
In May, President Donald Trump signed into law the Economic Growth, Regulatory Relief, and Consumer Protection Act (the "Growth Act").
United States
21 Sep 2018
14
Opportunity Zones: How Communities Can Leverage This New Provision To Jumpstart Investment
Even though practitioners are awaiting proposed regulations on the new opportunity zone provision, interested parties are already starting to set up qualified opportunity funds to pool investor capital.
United States
21 Sep 2018
15
Competitive Hiring Tool—Paying Off Employees' Student Loans—Gains Traction
According to the Pew Research Center, as of June 2017, the total amount of U.S. student debt was $1.3 trillion ...
United States
21 Sep 2018
16
SEC Withdraws Two No-Action Letters Regarding Use Of Proxy Advisory Firms – Chairman Clayton Issues Statement Regarding Staff Views
On September 13, 2018, the Division of Investment Management issued an Information Update in which it announced the withdrawal of two no-action letters concerning the circumstances under which ...
United States
20 Sep 2018
17
First Conviction In The United States For FATCA Violations
The former head of an offshore bank pled guilty to conspiracy to defraud the United States by intentionally circumventing the requirements of the Foreign Account Tax Compliance Act ("FATCA"). His guilty...
United States
20 Sep 2018
18
New York DFS Approves Stablecoins (Video)
On September 10, 2018, the New York Department of Financial Services granted approvals to Paxos and Gemini to offer price-stable cryptocurrencies, or "stablecoins," signifying that regulators are open...
United States
20 Sep 2018
19
The Regulators And Guidance: Thou Doth Protest Too Much
In our recent article in The Banking Law Journal, we discussed bank regulatory "guidance" that the U.S. Government Accountability Office ("GAO") ...
United States
20 Sep 2018
20
UK's ICO Fines Marketing Company Over Unsolicited Emails
The UK's data protection authority, the ICO, recently fined marketing firm Everything DM Ltd for sending almost 1.5 million marketing emails without obtaining sufficient consent as required by the...
United States
20 Sep 2018
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