Mondaq USA: Finance and Banking > Securitization & Structured Finance
Akin Gump Strauss Hauer & Feld LLP
Despite the new administration, the Securities and Exchange Commission (SEC) and the CFTC have both continued to make novel interpretations and to bring enforcement actions that break new ground.
Morrison & Foerster LLP
On October 3, 2018, the five federal agencies tasked with the supervision, examination, and enforcement of BSA and anti-money laundering requirements for banks, issued an interagency statement on sharing BSA resources.
Cadwalader, Wickersham & Taft LLP
This briefing reviews developments in European CMBS since the financial crisis and focuses on (1) 2011-15 European CMBS transactions ...
Cadwalader, Wickersham & Taft LLP
The National Futures Association ("NFA") amendments to the disclosure document that broker-dealers send to customers who trade in security futures products will become effective on October 12, 2018.
Cadwalader, Wickersham & Taft LLP
FINRA issued frequently asked questions ("FAQs") on the individual qualification and registration requirements in FINRA Rules 1210 through 1240.
Cadwalader, Wickersham & Taft LLP
The SEC proposed an amendment to Exchange Act Rule 17a-5 that would clarify an annual reporting exemption for certain broker-dealers.
Cadwalader, Wickersham & Taft LLP
A broker-dealer and investment adviser agreed to pay $1 million to settle SEC charges of failing to (i) protect customer information and (ii) develop and implement a written identity theft prevention program.
Cadwalader, Wickersham & Taft LLP
The SEC proposed amendments that would codify an existing exemption available to rating agencies with respect to their obligations under Exchange Act Rule 17g-5(a)(3) ...
Mayer Brown
On September 26, 2018, the US Securities and Exchange Commission (SEC) proposed a permanent exemption from Rule 17g-5 ...
Fenwick & West LLP
Over the past year, the U.S. Securities and Exchange Commission has ramped up its scrutiny of cryptocurrencies and other digital token offerings
Mayer Brown
On September 24, 2018, the Federal Reserve Bank of New York's Alternative Reference Rates Committee (ARRC) ...
Cadwalader, Wickersham & Taft LLP
Two affiliated broker-dealers agreed to settle SEC charges for allegedly misleading institutional customers regarding the operation of a dark pool.
Mayer Brown
Elder financial exploitation has been recognized by many state and national agencies as a concern as the population ages and elders shoulder more responsibility for managing their retirement assets under defined contribution plans.
Cadwalader, Wickersham & Taft LLP
Elad L. Roisman was sworn in as SEC Commissioner. Mr. Roisman was confirmed by the U.S. Senate on September 5, 2018.
Cadwalader, Wickersham & Taft LLP
A Connecticut-based multinational corporation agreed to pay $13.9 million to settle SEC charges for violating the anti-bribery, books and records, and internal controls provisions of the Foreign Corrupt Practices Act.
Cadwalader, Wickersham & Taft LLP
The SEC charged a hedge funder adviser, his investment advisory firm and a Delaware-based company in a scheme to manipulate a stock price.
Cadwalader, Wickersham & Taft LLP
Several Democratic members of Congress called upon SEC Chair Jay Clayton to amend proposed Regulation Best Interest to require a uniform fiduciary standard for all broker-dealers and investment advisers.
Hughes Hubbard & Reed LLP
Christopher Kiplok, counsel to the trustee in the liquidation of Lehman Brothers, was interviewed by NPR's Marketplace regarding the 10th anniversary of the collapse of Lehman Brothers.
Mayer Brown
The September 7, 2018 Golub Capital BDC no-action letter (Golub letter) issued by the Division of Investment Management (IM) of the US Securities and Exchange Commission (SEC)
Shearman & Sterling LLP
On August 28, 2018, the U.S. Board of Governors of the Federal Reserve System issued an interim final rule increasing the asset threshold for the applicability of the Federal Reserve Board's...
Most Popular Recent Articles
Cadwalader, Wickersham & Taft LLP
A Connecticut-based multinational corporation agreed to pay $13.9 million to settle SEC charges for violating the anti-bribery, books and records, and internal controls provisions of the Foreign Corrupt Practices Act.
Mayer Brown
Elder financial exploitation has been recognized by many state and national agencies as a concern as the population ages and elders shoulder more responsibility for managing their retirement assets under defined contribution plans.
Hughes Hubbard & Reed LLP
Christopher Kiplok, counsel to the trustee in the liquidation of Lehman Brothers, was interviewed by NPR's Marketplace regarding the 10th anniversary of the collapse of Lehman Brothers.
Cadwalader, Wickersham & Taft LLP
Several Democratic members of Congress called upon SEC Chair Jay Clayton to amend proposed Regulation Best Interest to require a uniform fiduciary standard for all broker-dealers and investment advisers.
Akin Gump Strauss Hauer & Feld LLP
Despite the new administration, the Securities and Exchange Commission (SEC) and the CFTC have both continued to make novel interpretations and to bring enforcement actions that break new ground.
Cadwalader, Wickersham & Taft LLP
Two affiliated broker-dealers agreed to settle SEC charges for allegedly misleading institutional customers regarding the operation of a dark pool.
Fenwick & West LLP
Over the past year, the U.S. Securities and Exchange Commission has ramped up its scrutiny of cryptocurrencies and other digital token offerings
Mayer Brown
The September 7, 2018 Golub Capital BDC no-action letter (Golub letter) issued by the Division of Investment Management (IM) of the US Securities and Exchange Commission (SEC)
Cadwalader, Wickersham & Taft LLP
The SEC charged a hedge funder adviser, his investment advisory firm and a Delaware-based company in a scheme to manipulate a stock price.
Cadwalader, Wickersham & Taft LLP
Elad L. Roisman was sworn in as SEC Commissioner. Mr. Roisman was confirmed by the U.S. Senate on September 5, 2018.
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