Search
Searching Content from United States indexed under Finance and Banking ordered by Published Date Descending.
Links to Result pages
 
1 2 3 4 5 6 7 8 9 10 11 . . .  
>>Next
 
Title
Country
Organisation
Author
Date
1
SEC Releases C&DIs Regarding Regulation Crowdfunding
The SEC Staff notes that an intermediary is permitted to have a financial interest in the issuer.
United States
19 Oct 2018
2
ISDA Analyzes Treatment Of Uncleared Margin As Incentive To Clear
ISDA analyzed the use of uncleared margin for derivatives as an incentive to clear. In a new white paper that draws on internal research
United States
19 Oct 2018
3
CFTC Chair Opposes Proposed EU Cross-Border Legislation
CFTC Chair J. Christopher Giancarlo warned European Union regulators that the agency does not approve of and will oppose any proposed cross-border legislation that is conflicting or overly burdensome.
Worldwide
19 Oct 2018
4
Jupiter Adds Liquid Alternative Option With U.S. Equity Short Fund
Jupiter launched the U.S. Equity Short Fund, which is a sub-fund of Jupiter Global Fund SICAV. The fund seek to generate an absolute return over a three-year rolling period independent...
United States
19 Oct 2018
5
Exchange Operators Call For Recusal Of SEC Director From Market Data Fee Lawsuit
In a motion filed with the SEC, NYSE and Nasdaq requested the recusal of SEC Division of Trading and Markets Director Brett Redfearn from the SEC's review of a dispute regarding market data fee increases.
United States
19 Oct 2018
6
Part 1: DOJ Weighs In On Cyber Investigations & Breach Preparedness
The U.S. Department of Justice is increasing its outreach to the private sector on all things cyber. Last week, the DOJ's Criminal Division held a cybersecurity roundtable to discuss challenges in handling data breach investigations.
United States
19 Oct 2018
7
MFA Provides Recommendations To CFTC For Simplifying Form PF Reports
The Managed Funds Association ("MFA") made recommendations on how to simplify Form PF reporting by dually registered investment advisers and commodity pool operators ("dually registered firms").
United States
19 Oct 2018
8
SEC Reopens Comment Period On Capital, Margin And Segregation Requirements For SBSDs
The SEC reopened the comment period, and requested additional comments, on proposed new rules and amendments to (i) establish capital, margin and segregation requirements for SBSDs and major security-based swap...
United States
19 Oct 2018
9
Cadwalader Analysis: SEC Returns To Security-Based Swap Dealer Regulation
Cadwalader attorneys reviewed the SEC's security-based swap rules under Dodd-Frank Title VII in light of the agency taking action to reopen the comment period on capital, margin and segregation requirements.
United States
19 Oct 2018
10
Unicorn Financings – First Half 2018
We analyzed the deal terms of 83 financings for privately-held, U.S.-based companies valued at $1 billion or more—known as unicorns—that raised money in 2017 and the first half of 2018
United States
19 Oct 2018
11
CCPs As Third Party Service Providers: Breach Notification Issues
Among the requirements placed on New York chartered- or licensed-financial institutions is that, pursuant to Section 500.17 (‘‘Notices to the Superintendent'') ...
United States
19 Oct 2018
12
FINRA Recaps October Disciplinary Actions
FINRA summarized recent disciplinary actions against firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws and rules.
United States
19 Oct 2018
13
FRB Governor Recommends Improvements To Community Reinvestment Act
Federal Reserve Board ("FRB") Governor Lael Brainard outlined a number of ways to improve the effectiveness of the Community Reinvestment Act ("CRA") ...
United States
19 Oct 2018
14
Banking Regulators Update FAQs On Real Estate Transactions
The Office of the Comptroller of the Currency, the Federal Reserve Board and the FDIC updated answers to FAQs ...
United States
19 Oct 2018
15
Going Public Through Debt Issuance
A recent paper titled, "Why do firms go public through debt issuance instead of equity?" reviews the characteristics of companies that choose to access the public market through debt issuance.
United States
19 Oct 2018
16
Pennsylvania's Commission Continues To Probe The Value Of Active Management
Pennsylvania's Commission was told at the September hearing regarding the PSERS and SERS probe that $3.8 billion in investment fees have gone unreported.
United States
19 Oct 2018
17
New Public Alternative Funds - October 18, 2018
New Public Alternative Funds - October 18, 2018
United States
19 Oct 2018
18
Trump Administration Proposes Requiring Disclosure Of Drug Prices In TV Ads
The Trump Administration is moving full speed ahead with its proposals under the Blueprint to Lower Drug Prices (the "Blueprint").
United States
18 Oct 2018
19
As Less Enforcement Leads To More Lawsuits, We Speak To Education Loan Finance On Ways Lenders And Servicers Can Avoid Future Issues
Although there's been much talk of an epic battle between states and the federal government that will determine the scope of federal preemption in the student loan space,
United States
18 Oct 2018
20
CFTC Commissioner Considers Concerns Raised By CCPs And Swap Market Participants
CFTC Commissioner Rostin Behnam discussed challenges for central counterparty ("CCPs") and swap market participants since the G-20 reforms and the passage of the Dodd-Frank Act.
United States
18 Oct 2018
Links to Result pages
 
1 2 3 4 5 6 7 8 9 10 11 . . .  
>>Next