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Searching Content indexed under Finance and Banking by Mayer Brown ordered by Published Date Descending.
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1
Abusiveness Isn't Dead Yet
Many thought that with former Director Richard Cordray's resignation, the Consumer Financial Protection Bureau (CFPB) would stop using its abusiveness authority in enforcement actions.
United States
16 Sep 2019
2
For The Second Time, Federal Court Dismisses Lawsuit Challenging Proposed OCC Fintech Charter
On Tuesday (September 3, 2019), the U.S. District Court for the District of Columbia issued an order dismissing a lawsuit filed by the Conference of State Bank Supervisors
United States
13 Sep 2019
3
Volcker Rule Revisions: Implications For Structured Finance
The revisions defer further action on the covered fund issues most relevant to securitizations and CLOs to a later rulemaking.
United States
13 Sep 2019
4
Federal Judge Orders CFTC Commissioners To Testify About Public Statements Following The Issuance Of A Consent Order In CFTC v. Kraft
The Wall Street Journal recently quoted Mayer Brown Partner Matthew F. Kluchenek regarding a federal judge's demand that the new chairman and two commissioners of the Commodity Futures Trading Commission
United States
13 Sep 2019
5
Is "Should" Enough? Treasury Releases Its Housing Finance Reform Proposals
If only the U.S. Treasury had a magic wand to ensure that the dozens of recommendations released last night in its long-awaited reform proposals for housing finance would become a reality;
United States
10 Sep 2019
6
Volcker Rule Revisions Adopted By Agencies - August 29, 2019
The US federal banking and functional regulators ("Agencies")1 have finalized revisions to the proprietary trading and compliance program provisions of the Volcker Rule (the "2019 Revisions").2
United States
3 Sep 2019
7
FINRA Rule 5110 – An Amendment To The Proposed Rule Change
The Financial Industry Regulatory Authority, Inc. ("FINRA") has again released proposed revisions to FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements).
United States
2 Sep 2019
8
FINRA Seeks Comment On Senior Protection Rules
On August 9, 2019, FINRA issued Regulatory Notice 19-27 requesting comments on its rules and administrative processes that most directly apply to financial exploitation of senior investors.
United States
2 Sep 2019
9
Volcker Rule Revisions Adopted By Agencies
The Federal Deposit Insurance Corporation ("FDIC"), Office of the Comptroller of the Currency ("OCC"), Board of Governors of the Federal Reserve System ("Federal Reserve"),
United States
2 Sep 2019
10
FIMSAC Approves Recommendation For Investor Education Regarding Retail Notes
In a meeting held on July 29, 2019, the SEC's Fixed Income Market Structure Advisory Committee ("FIMSAC") unanimously approved its Corporate Bond Transparency Subcommittee's
United States
2 Sep 2019
11
Investment-Related Initiatives From The NAIC Meeting Of August 4, 2019
The National Association of Insurance Commissioners ("NAIC") held its most recent national meeting from August 3-6, 2019 in New York City
United States
27 Aug 2019
12
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
13
Sale Or Assignment Of US Government Receivables – FACA Considerations
Buying and selling receivables, the obligor of which is the United States government, requires consideration of the Federal Assignment of Claims Act ("FACA").
United States
21 Aug 2019
14
URLA Preferred Language Question — More Flip-Flopping
Mandatory use of the redesigned URLA was originally set for February 2020.
United States
20 Aug 2019
15
Nasdaq Rule Changes To Initial Listing Standards Related To Liquidity Effective
Earlier this spring, the Nasdaq Stock Exchange (the "Nasdaq") filed a proposed amendment (the "Amendment") of its initial listing standards
United States
13 Aug 2019
16
Consignments: The Sports Authority Cases, Article 9 and the PEB
In her Secured Transactions column, Barbara M. Goodstein discusses two recent decisions in the Sports Authority bankruptcy which underscore the continuing challenge
United States
13 Aug 2019
17
Redlining In The News Again
Redlining is back in the news.
United States
9 Aug 2019
18
FINRA Sanctions A Brokerage For Failure To Reasonably Supervise Securities Transactions
FINRA found that Dealer received but did not review the alerts.
United States
6 Aug 2019
19
FINRA Increases Margin Requirements For ETNs And Options On ETNs
Debt securities, which include ETNs, are margin securities.
United States
6 Aug 2019
20
Capital Markets Tax Quarterly - Volume 2, Issue 2
Q2 2019 started out with a great deal of hope in the world of capital markets taxation.
United States
6 Aug 2019
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