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K&L Gates
On 10 April 2024, the National Futures Association's (NFA) Business Conduct Committee (BCC) issued an order against 50.ai Investments LLC, a former NFA Member commodity pool operator and forex firm.
Mayer Brown
On August 24, 2023, the US Court of Appeals for the Second Circuit issued its decision in the Kirschner v. JPMorgan litigation saga, rejecting the plaintiff's...
Scarinci Hollenbeck LLC
Known as the "Supervision Rule," FINRA Rule 3110 requires brokerage firms to establish, maintain, and enforce a system to supervise the activities of their associated persons.
Manatt, Phelps & Phillips LLP
In the context of a purchase or sale of a security, Rule 10b-5(b) (17 CFR § 240.10b-5(b)) makes it unlawful "[t]o make any untrue statement of a material fact or to omit to state...
Cadwalader, Wickersham & Taft LLP
The Consumer Financial Protection Bureau ("CFPB") is engaged in a firestorm of tricky litigation these days.
Ankura Consulting Group LLC
Since California first passed legislation legalizing medical marijuana in 1996, the legal landscape involving medicinal and recreational marijuana has grown significantly.
Ward and Smith, P.A.
A bankruptcy discharge relieves a debtor of their legal obligation to repay most debts. The Bankruptcy Code begins with a presumption of dischargeability for the honest but unfortunate debtor...
Duane Morris LLP
The U.S. Treasury's Financial Crimes Enforcement Network (FinCEN) has learned of fraudulent attempts to solicit information from individuals and entities who may be subject to reporting requirements under the Corporate Transparency Act.
Greenberg Traurig, LLP
The Consumer Financial Protection Bureau (CFPB) and a coalition of trade-group plaintiffs filed dueling briefs last week over recusal standards in the Fifth Circuit lawsuit challenging the CFPB's...
Holland & Knight
In this episode of his "Clearly Conspicuous" podcast series, "The CFPB's Rule to Remove Medical Debt from Credit Reports," consumer protection attorney Anthony DiResta...
Vorys Sater Seymour & Pease
One of the regular features of Development Incentives Quarterly is an interview with an industry leader. For this edition, we are keeping that close to home with an interview of Scott Ziance...
Goodwin Procter LLP
Out of recent banking agency focus on fintech-bank partnership arrangements, we've had a number of fintech clients inquire about the questions they should ask potential bank...
Mayer Brown
This Legal Update has been updated on changing requirements from the Federal Housing Administration ("FHA") regarding branch offices.
McGlinchey Stafford
On March 26, 2024, the National Association of Industrial Bankers (NAIB), American Financial Services Association (AFSA), and American Fintech Council (AFC) (collectively...
Godfrey & Kahn S.C.
The SEC announced on February 28, 2024 that William Birdthistle, the Director of the Division of Investment Management, would leave the SEC effective March 8, 2024...
Greenberg Traurig, LLP
On April 1, 2024, California's legislature introduced Assembly Bill 2863, which proposes amendments to California's ARL.
Steptoe LLP
Election years are busy for political action committees as they raise money and contribute to numerous groups.
Proskauer Rose LLP
In its final Private Fund Adviser Rules adopted last year, the SEC dropped one of the more controversial proposed rules—the proposal to prohibit contractual exculpation or indemnification...
Worldwide
Katten Muchin Rosenman LLP
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds.
K&L Gates
Investment advisers offering funds in more than one country are accustomed to adapting to different regulatory requirements. However, the challenges presented by the global regulation of environmental...
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