Mondaq USA: Finance and Banking > Financial Services
Cadwalader, Wickersham & Taft LLP
The FDIC proposed amending the interest rate restrictions for insured depository institutions ("IDIs") that are less than "well capitalized" (i.e., any IDI that does not significantly exceed
Cadwalader, Wickersham & Taft LLP
In response to an MSRB retrospective rule review, SIFMA recommended clearing up ambiguities within existing regulations concerning ethical standards for financial advisors.
Cadwalader, Wickersham & Taft LLP
The Office of the Comptroller of the Currency ("OCC") and the FDIC approved an interagency final rule simplifying certain aspects of existing regulations
Foley Hoag LLP
On August 14, 2019, the U.S. Small Business Administration ("SBA") announced that it will charge a new fee on draws of committed SBA leverage made on and after October 1, 2019.
Cadwalader, Wickersham & Taft LLP
The Volcker Rule Topic Page helps financial institutions keep current on legal and regulatory issues concerning the Volcker Rule
Cadwalader, Wickersham & Taft LLP
In its August disciplinary report, FINRA recapped actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities
Cadwalader, Wickersham & Taft LLP
The SEC Division of Corporation Finance Office of Mergers and Acquisitions granted no-action relief to an exchange-traded fund ("ETF") from requirements under SEA Rule 14e-5
Smith Gambrell & Russell LLP
Heung C. Rha and Suhn O. Rha agreed to purchase the property located at 16-17 Bell Blvd., Bayside, New York from Alessio Blangiardo pursuant to a contract signed on October 23, 2014.
Mayer Brown
In addition, Repurchase Facilities are usually treated as loans for accounting and tax purposes by sellers and buyers.
Butler Snow LLP
No, we have not reversed global warming. But, we do have the Immigration and Customs Enforcement ("ICE") coming to our meetings in August.
Cleary Gottlieb Steen & Hamilton LLP
On August 20, 2019, the Federal Deposit Insurance Corporation and the Office of the Comptroller of the Currency approved a Final Rule adopting key changes to the proprietary trading
Sheppard Mullin Richter & Hampton
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...
McDermott Will & Emery
Today, thanks to the efforts of the business community in New Jersey and advocacy groups such as the STAR Partnership, the Division withdrew Technical Bulletin 85.
Sheppard Mullin Richter & Hampton
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
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
As recently noted, Saba Capital Management, L.P. (Saba) has begun to escalate its attacks on the closed-end fund asset class, at the expense of retail fund shareholders
Akin Gump Strauss Hauer & Feld LLP
The U.S. Department of the Treasury requires U.S. issuers—including U.S.-resident investment funds1—to report foreign residents' holdings of U.S.
Cadwalader, Wickersham & Taft LLP
FINRA elected four new governors to the agency's Board of Governors. The new governors begin their three-year terms effective immediately.
Cadwalader, Wickersham & Taft LLP
In a separate address at the Forum, Ms. Miller stressed the importance to the economy of capital formation and investment in new companies.
Cadwalader, Wickersham & Taft LLP
The CFPB and the State of Arkansas proposed a settlement in the United States District Court, Eastern District of Arkansas, against brokers for violations of the Consumer Financial
Orrick
On August 9, the U.S. Department of Housing and Urban Development announced that the Federal Housing Administration will insure mortgages on mixed-used developments under the FHA's Section 220 Program ...
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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).
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.
Withers LLP
The modern notion of a family office charged with the stewardship of a single family's wealth for current and future generations emerged in the 19th century. The
Ropes & Gray LLP
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
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.
DLA Piper
This regular publication from DLA Piper focuses on helping banking and financial services clients navigate the ever-changing federal regulatory landscape.
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