Mondaq USA: Finance and Banking
Shearman & Sterling LLP
On January 8, 2018, the European Securities and Markets Authority launched a consultation on proposed guidelines for national regulators of CCPs on the application of the rules requiring CCPs...
Troutman Sanders LLP
On January 16, the Consumer Financial Protection Bureau announced its intention to reconsider a controversial rule affecting the short-term (payday) and auto-title lending industries.
Shearman & Sterling LLP
On January 10, 2018, the Federal Reserve Board announced its 2018 chair and deputy chair appointments for Federal Reserve Banks. Each year, the Federal Reserve Board appoints one member ...
Shearman & Sterling LLP
On January 10, 2018, the US Board of Governors of the Federal Reserve System announced a final rule adjusting the maximum amount of its civil money penalties.
Cadwalader, Wickersham & Taft LLP
CFTC Chair J. Christopher Giancarlo named Maggie Sklar as his Senior Counsel.
Davis & Gilbert
2018 may be the beginning of the end of an education finance system that has resulted in overburdened students and families struggling to pay back loans that were too high at their inception...
Kramer Levin Naftalis & Frankel LLP
The CFTC unanimously approved final rules updating Parts 3 and 9 to integrate existing advisory guidance, incorporate SEFs and update provisions currently applicable to designated contract markets (DCMs).
Kramer Levin Naftalis & Frankel LLP
New Public Alternative Funds - January 4, 2018
Kramer Levin Naftalis & Frankel LLP
The CFTC's Division of Swap Dealer and Intermediary Oversight issued no-action relief to registered futures commission merchants and introducing brokers to exclude deferred tax liabilities...
Troutman Sanders LLP
Earlier this month, the New York State Department of Financial Services fined The Western Union Company $60 million for allegedly violating the New York Bank Secrecy Act and anti-money laundering laws.
Shearman & Sterling LLP
MiFID II is Europe's new financial regulation for investment business which came into effect on 3 January 2018.
Cadwalader, Wickersham & Taft LLP
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of January 8 to January 12, 2018.
Cadwalader, Wickersham & Taft LLP
The SEC is requesting comment on the collection of information on Form PF ("Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors").
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker provides a list of upcoming comment deadlines, compliance dates, effective dates, reporting deadlines, and nomination dates.
Cadwalader, Wickersham & Taft LLP
The CFTC approved amendments to National Futures Association ("NFA") rules related to disclosures and price adjustments for forex transactions and 2-43.
Cadwalader, Wickersham & Taft LLP
A U.S. District Court judge ruled against Leandra English's request for a preliminary injunction to remove Mick Mulvaney as Acting Director of the Consumer Financial Protection Bureau ("CFPB").
Cadwalader, Wickersham & Taft LLP
Whether you were waiting for a "wall" or a "wave" to hit the commercial mortgage-backed securities market last year, 2017 did not deliver the massive amount of CMBS refinancings predicted by many at the end of 2016.
Proskauer Rose LLP
On October 26, 2017, the SEC staff issued three no-action letters to help broker-dealers, investment advisers and investment companies comply with the European directive known as MiFID II as it pertains to payment...
Shearman & Sterling LLP
It is now time for foreign private issuers to prepare their annual reports on Form 20-F. For companies with a calendar year-end, the Form 20-F must be filed with the U.S.
Seyfarth Shaw LLP
Ninth Circuit upholds district court decision granting five businesses injunctive relief, finding that state law banning credit card surcharges is unconstitutional as applied to the five businesses.
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Poyner Spruill LLP
Twelve years old. In North Carolina, a person as young as twelve years old may ride alone in a fully autonomous—or, "driverless"—vehicle.
BakerHostetler
Government agencies, prominent tech companies, startups and newly-created foundations are all working to develop a new paradigm for proof of identity based on blockchain technology.
BakerHostetler
On Dec. 5, 2017, the Federal Trade Commission reached a settlement with three defendants who it alleged partook in deceptive, abusive and unfair debt collection practices ...
Seyfarth Shaw LLP
A somewhat bizarre event – even by this year's standard of unusual current events – hit the news stream earlier this week, as two "Acting Directors"...
Carlton Fields
Error in legal description did not preclude judgment of foreclosure because property was sufficiently identified by accurate lot and tract, street address, and parcel identification number.
BakerHostetler
In the past few years, and particularly in the past few months, cryptocurrencies or digital currencies – most notably bitcoin and ether
McLane Middleton, Professional Association
How much do you really worry much anymore about a breach of your credit card? If your card is lost or your number is stolen, a thief might make a purchase or two before the fraud is detected ...
Carlton Fields
New York's Department of Financial Services decided to bid farewell to 2017 and ring-in the new year by proposing to amend Suitability in Annuity Transactions, 11 NYCR 224 (the Annuity Suitability Rule).
Cadwalader, Wickersham & Taft LLP
The Board of Governors of the Federal Reserve System ("FRB") requested comments on proposed guidance related to supervisory expectations for large financial institutions' risk management practices.
Torys LLP
On Friday, December 15, the U.S. Congress Conference Committee tasked with reconciling differences between the House- and Senate-passed tax reform bills released its Conference Report with a revised bill.
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