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Searching Content from United States indexed under Finance and Banking ordered by Published Date Descending.
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1
US Commodity Futures Trading Commission And The Securities And Exchange Commission Approve New Arrangements To Harmonize Title VII Rulemakings
On June 28, 2018, the U.S. Commodity Futures Trading Commission and the Securities and Exchange Commission approved a new Memorandum of Understanding between the two agencies.
United States
20 Jul 2018
2
Bipartisan Capital Markets Reform Legislation Announced
Today, a bipartisan, capital formation-focused, package of legislation was unveiled by House Financial Services Committee Chairman Jeb Hensarling and Ranking Member Maxine Waters.
United States
20 Jul 2018
3
Market Trends 2017/18: Medium-Term Note Programs
Recent changes to indentures due to TLAC requirements and disclosure changes due to the potential cessation of LIBOR are highlighted.
United States
20 Jul 2018
4
New Exemptive Rule Could Lower Barriers To Entry For New ETFs
At an open meeting held June 28, 2018, the SEC voted unanimously to propose a new rule codifying exemptions to certain rules under the Investment Company Act.
United States
20 Jul 2018
5
Securities-Related Bills Approved By House Financial Services Committee
The House Financial Services Committee met last week and approved eight capital formation-related bills
United States
20 Jul 2018
6
Senior SEC Official Clarifies Whether And When Digital Assets Are Securities
When assessing whether a digital asset is a security, the key question to ask is whether a third party is driving the expectation of a return, says a senior Securities and Exchange Commission (SEC) official.
United States
20 Jul 2018
7
Reg. Tracker: July 15 To July 31
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines and effective dates. Click on the links below to view deadlines from July 15 to July 31.
United States
20 Jul 2018
8
Weekly Roundup of Exchange Rules by Category – July 13, 2018
Click on the links to view SEC notices of exchange rule changes and proposals for the week of July 9 to July 13, 2018.
United States
20 Jul 2018
9
DFS Report Indicates Increased Level Of Online Lending In New York
The New York State Department of Financial Services ("DFS") found that online marketplace lending has increased dramatically since 2015.
United States
20 Jul 2018
10
An Investment Guide To UK Real Estate
The UK real estate market has always been and remains popular for overseas investment, with easy access to high-quality legal advice and no restrictions on the flow of capital into or out of the country.
United States
20 Jul 2018
11
US Federal Reserve Vice Chairman For Supervision Discusses The Promotion Of Global Financial Stability
On June 27, 2018, U.S. Board of Governors of the Federal Reserve System Vice Chairman for Supervision, Randal Quarles, discussed the importance of the promotion of global financial stability ...
United States
19 Jul 2018
12
US Office Of The Comptroller Of The Currency Releases Updated Supervision Booklets
On June 28, 2018, the U.S. Office of the Comptroller of the Currency announced updates to a number of supervision booklets, including the "Bank Supervision Process," "Community Bank Supervision," ...
United States
19 Jul 2018
13
Public Liquidity-Related Disclosure Requirements Adopted For Open-End Funds
The SEC adopted amendments to public liquidity-related disclosure requirements for certain open-end funds, requiring them to discuss the operation and effectiveness of their liquidity risk...
United States
19 Jul 2018
14
Federal Register: CFTC Proposes To Simplify Certain SRO Financial Surveillance Program Requirements
The CFTC proposal to simplify the requirements for self-regulatory organizations ("SROs") conducting financial surveillance on futures commission merchants ("FCMs") was published in the Federal Register.
United States
19 Jul 2018
15
CFTC Chair Hires New Senior Counsel
CFTC Chair J. Christopher Giancarlo named Matthew A. Daigler as Senior Counsel. In his new role, Mr. Daigler's responsibilities will include advising the Chair on the CFTC's agenda for swaps regulation reform.
United States
19 Jul 2018
16
Attorney Settles Charges Of Illegally Selling Blockchain-Related Securities
An attorney and the business affairs manager of his law firm agreed to settle SEC charges of illegally selling shares of a company focused on the application of blockchain technology for food, drugs and healthcare.
United States
19 Jul 2018
17
In Case You Missed It: Consumer Financial Services Law Monitor - June In Review
We have posted several new topics to the Consumer Financial Services Law Monitor blog throughout the month of June.
United States
19 Jul 2018
18
Kramer Levin Snapshot #20 - Mai-Juin 2018
Pierre Storrer – Derrière la DSP2: le règlement Authentification forte et Communication sécurisée, in Revue Banque n°820 de mai 2018
United States
19 Jul 2018
19
CFTC Grants Largest Whistleblower Award
The CFTC granted its largest-ever whistleblower award to an individual who reported information that resulted in a successful enforcement action.
United States
18 Jul 2018
20
Commodity Trading Firm Settles Charges Of Manipulating Wheat Futures And Options Prices
A commodity trading firm agreed to settle CFTC charges of attempting to manipulate the price of certain futures and options contracts.
United States
18 Jul 2018
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