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Searching Content from United States indexed under Finance and Banking ordered by Published Date Descending.
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1
FDIC Proposes Amending Interest Rate Restrictions For Less Than "Well Capitalized" Institutions
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
United States
23 Aug 2019
2
SIFMA Recommends Updates To MSRB Rules On Ethical Standards
In response to an MSRB retrospective rule review, SIFMA recommended clearing up ambiguities within existing regulations concerning ethical standards for financial advisors.
United States
23 Aug 2019
3
OCC and FDIC Approve Interagency Final Rule Amending Volcker Rule
The Office of the Comptroller of the Currency ("OCC") and the FDIC approved an interagency final rule simplifying certain aspects of existing regulations
United States
23 Aug 2019
4
SBA Announces New Fee On Leverage Draws And New Process For Leverage Approval Notices
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.
United States
23 Aug 2019
5
Volcker Rule Topic Page Now Available On The Cabinet (Video)
The Volcker Rule Topic Page helps financial institutions keep current on legal and regulatory issues concerning the Volcker Rule
United States
23 Aug 2019
6
FINRA Recaps Monthly Disciplinary Actions - August 2019
In its August disciplinary report, FINRA recapped actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities
United States
23 Aug 2019
7
SEC Grants Exemptive Relief To ETF From Tender Offer Rules
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
United States
23 Aug 2019
8
The [Rhas] Have It
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.
United States
23 Aug 2019
9
Changes In Effective Dates Of Upcoming GAAP Accounting Standards
Businesses looking to implement four new accounting standards will have a brief reprieve. During July 2019, the Financial Accounting Standards Board
United States
23 Aug 2019
10
Benefits Of Protected Contracts: Utilizing Repurchase Facilities And Securities Contracts As An Alternative To Standard Lending Arrangements
In addition, Repurchase Facilities are usually treated as loans for accounting and tax purposes by sellers and buyers.
United States
23 Aug 2019
11
Mississippi Regulatory Compliance Group Quarterly Report, Vol. 30 No. 3
No, we have not reversed global warming. But, we do have the Immigration and Customs Enforcement ("ICE") coming to our meetings in August.
United States
23 Aug 2019
12
Agencies Finalize Elements Of Volcker 2.0
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
United States
23 Aug 2019
13
Fifth Circuit Affirms Enron Broker Not Liable To Employee Stock Option Holders For False Or Withheld Information
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...
United States
23 Aug 2019
14
BREAKING NEWS: New Jersey Is Not GILTI! The Division Withdraws TB-85
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.
United States
23 Aug 2019
15
Increase In Regulatory Expense For Debtor-In-Possession Revolving Credit Facilities
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
United States
22 Aug 2019
16
Neuberger Berman Alleges Saba Capital Violating 1940 Act To Win Proxy Fights; Saba Investors On Notice, Should Consider Own Duties
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
United States
22 Aug 2019
17
Form SHL: Reports By U.S. Issuers And Others On Foreign Ownership Due August 30, 2019
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.
United States
22 Aug 2019
18
FINRA Elects Four New Governors
FINRA elected four new governors to the agency's Board of Governors. The new governors begin their three-year terms effective immediately.
United States
22 Aug 2019
19
Regulators Emphasize Importance Of Capital Investment
In a separate address at the Forum, Ms. Miller stressed the importance to the economy of capital formation and investment in new companies.
United States
22 Aug 2019
20
CFPB Proposes Settlement In Connection With High-Interest Credit Offers
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
United States
22 Aug 2019
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