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Searching Content from United States indexed under Finance and Banking ordered by Published Date Descending.
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1
FINRA Proposes Changes To Security Futures Risk Disclosure Statement
FINRA proposed amending its security futures risk disclosure statement to reflect that Securities Investor Protection Corporation's protection for customer cash ...
United States
17 Aug 2018
2
International Regulatory Groups Analyze "Interconnectedness" Between CCPs And Clearing Members
In a new report on interconnectedness and systemic risk, IOSCO, the Financial Stability Board, the Committee on Payments and Market Infrastructures ...
United States
17 Aug 2018
3
FINRA Publishes Annual "Industry Snapshot"
FINRA released its first annual "Industry Snapshot," a publication containing year over year data on trading activity and statistics on FINRA-registered firms and representatives.
United States
17 Aug 2018
4
On Point. – Shelf Offerings By Business Development Companies
Counsel Brian Hirshberg discusses the availability of shelf offerings, capital markets opportunities
United States
17 Aug 2018
5
SEC Proposes To Ease Disclosures Required By Rules 3-10 And 3-16 Of Regulation S-X In Certain Registered Debt Offerings
On July 24, 2018, the Securities and Exchange Commission proposed rule amendments that would simplify the financial disclosure requirements applicable to registered debt offerings for guarantors ...
United States
17 Aug 2018
6
Make Sure That Your CDs Remain CDs
Offering documents for structured certificates of deposit make clear that the dealers selling the CDs will not make a market in the CDs.
United States
17 Aug 2018
7
Federal Register: Federal Reserve Proposes Technical Revision To Capital Assessment And Stress Testing Report
The Board of Governors of the Federal Reserve System ("FRB") proposed a revision to a report that must be completed in connection with capital assessments and stress testing requirements.
United States
17 Aug 2018
8
NY DFS Superintendent Reminds Firms Of Upcoming Compliance Dates For Cybersecurity Regulation
New York Department of Financial Services ("DFS") Superintendent Maria Vullo reminded all DFS-regulated entities covered by DFS's cybersecurity regulation ("covered entities") ...
United States
17 Aug 2018
9
NFA Files Complaint Against Company For Failure To Cooperate With A Firm Examination
The National Futures Association ("NFA") Business Conduct Committee brought a Complaint against a commodity pool operator ...
United States
16 Aug 2018
10
Third Circuit: The CFPB May Use A CID To Obtain Information About All Aspects Of A Company's Business
In order to pursue its Congressional mandate to enforce Federal consumer financial laws, the CFPB may compel the production of documents or testimony by issuing a civil investigative demand ...
United States
16 Aug 2018
11
FinCEN Extends Rollover And Renewal Exception To Beneficial Ownership Rule
On August 8, 2018, the FinCEN extended for an additional 30 days the exceptive relief granted to covered financial institutions from collecting beneficial ownership information on certain accounts...
United States
16 Aug 2018
12
Overview Of Opportunity Zones: The Government's Powerful New Tool To Drive Economic Development In Underserved Communities
Opportunity Zones are a powerful new economic development tool, designed to mobilize investment in underserved communities across the nation.
United States
16 Aug 2018
13
CFTC Proposes To Simplify Exemptive Process For Foreign Clearing Organizations
The CFTC proposed amendments to codify policies and procedures for organizations located outside of the U.S. to obtain an exemption from registration as a derivatives clearing organization ("DCO").
United States
16 Aug 2018
14
New York Congressman Charged With Insider Trading
The SEC charged the U.S. Representative for New York's 27th Congressional District, his son and a third individual with insider trading.
United States
16 Aug 2018
15
FinCEN Extends Temporary Relief For Rollovers And Renewals
The Financial Crimes Enforcement Network ("FinCEN") extended previously granted relief that temporarily exempts certain products and services from the Beneficial Ownership Rule.
United States
16 Aug 2018
16
Global FX Committee Updates Standards For Forex Market Participants
The Global Foreign Exchange Committee ("GFXC") published an updated version of the FX Global Code (the "Code") and highlighted recent GFXC developments and near-term priorities.
United States
16 Aug 2018
17
Attorneys General Urge SEC To Strengthen Proposed Regulation Best Interest
A coalition of 17 Attorneys General ("AGs") urged the SEC to bolster the requirements set out in proposed Regulation Best Interest (the "Proposed Rule").
United States
16 Aug 2018
18
Are You Ready For The New York Cybersecurity Regulations' September 3rd Deadline?
Financial institutions and insurance companies operating in New York have until September 3, 2018 to comply with the next phase of New York's Cybersecurity Regulations.
United States
16 Aug 2018
19
Investor Bulletin On Nontraditional Index Funds Covers Issues Familiar To Structured Products Investors
Many of the issues related to these nontraditional custom indices are familiar to those who are aware of the regulatory attention paid to complex products over the years.
United States
15 Aug 2018
20
Regulation Best Interest: Can Structured Products Conflicts Be Resolved?
Material conflicts of interest arising from financial incentives are treated differently under the Regulation, as those conflicts must be mitigated or eliminated, whereas other material conflicts of interest may be resolved with disclosure only.
United States
15 Aug 2018
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