Mondaq USA: Finance and Banking
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
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
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
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
Cadwalader, Wickersham & Taft LLP
Two broker-dealers settled separate SEC charges (see here and here) for improperly obtaining the pre-release of American Depositary Receipts ("ADRs") that the firms should
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 ...
Stroock & Stroock & Lavan LLP
How the Latest QOZ Proposals Affect Qualified Opportunity Zone Businesses.
WilmerHale
If your business carries debt, the interest rate on that debt is likely to be linked to the London Interbank Offered Rate (LIBOR).
Cadwalader, Wickersham & Taft LLP
The New York State Department of Financial Services ("NYDFS") approved the application of a trust company to act as a custodian for Bitcoin.
Mayer Brown
Buying and selling receivables, the obligor of which is the United States government, requires consideration of the Federal Assignment of Claims Act ("FACA").
Orrick
The SEC Investment Management Division published a no-action letter on August 15 addressed to Redwood Trust that provides a certain degree of Section 3(c)(5)(C) compliance leeway for mortgage REITs and mortgage bankers.
Orrick
On August 8, the SEC announced that it has voted to propose rule amendments to modernize and simplify certain disclosures required pursuant to Regulation S-K since the regulation was first adopted over 30 years ago.
Morrison & Foerster LLP
Thus, VantageScore LLC is eligible to apply for consideration by the GSEs.
Ostrow Reisin Berk & Abrams
Your controller should be an integral part of your strategic plan to scale. In fact, they should be a strategic partner in most aspects of growth.
Cadwalader, Wickersham & Taft LLP
In newly issued guidance, FINRA reminded firms doing business with municipalities to implement appropriate supervisory procedures to avoid conducting unregistered municipal advisory activities.
Morrison & Foerster LLP
In an earlier paper, we considered whether ISAs should be subject to federal consumer credit statutes, including the Truth in Lending Act ("TILA")
Arnold & Porter
Despite several key setbacks in recent years, spoofing remains an enforcement priority for the Department of Justice (DOJ), Securities and Exchange
Mayer Brown
Mandatory use of the redesigned URLA was originally set for February 2020.
Ostrow Reisin Berk & Abrams
Recent market gyrations have made even strong-stomached investors a little queasy. In general, maintaining your positions in a well-diversified portf
Mintz
Seth Goldman explains how derivative action litigation can be an effective strategy for minority shareholders and discusses the favorable settlement Mintz achieved on behalf of client FragranceNet.com using this approach.
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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 ง199A, 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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