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By Matthew F. Kluchenek, Marla Matusic, Marlon Paz, Anna T. Pinedo, Ansley H. Schrimpf, Kyle P. Swan
On September 19, the U.S. Securities and Exchange Commission took another significant step toward completing its requirements for the security-based swap and swap activities by finalizing its recordkeeping and reporting rules ...
By Julie A. Gillespie, Carol Hitselberger
In this series, we highlight a few of the regulatory considerations present in a typical CRT structured as a synthetic securitization.
By Mayer Brown
Associate Quinncy McNeal, based in our Houston office, moderates a discussion between partner Goncalo Falcao and special counsel Norman Nadorff,...
By Melissa L. Richards
Mayer Brown offers its Global M&A Podcast Series as an easy way to stay up-to-date on the latest M&A trends globally—legal issues and other related, timely topics.
By Julie A. Gillespie
Today, we are kicking off a three part series discussing capital relief trades (CRTs)—often referred to as synthetic securitizations
By Charles Harris, II, Kwadwo Sarkodie, B. Ted Howes, Daniel Hart
Title 28, US Code, Section 1782 authorizes an interested person to petition a US federal district court where any person "resides or is found"
By Bradley Berman, Michael D. Russo, Anna T. Pinedo
On September 6, 2019, Co-Director of Enforcement Steven Peikin of the SEC delivered a speech at the Securities Conference 2019. During this address, he discussed whether the SEC's Division
By Bradley Berman, Michael D. Russo, Anna T. Pinedo
If you were somewhat put off by the prospect of reading over 1,000 pages of adopting releases for Regulation Best Interest and the Form CRS relationship summary and amendments to Form ADV, you are now
By Barbara Goodstein
In a surprising development, on September 11, 2019 the Seventh Circuit Court of Appeals issued a ruling on appeal reversing a lower bankruptcy court decision and found that a UCC financing statement ...
By Bradley Berman, Michael D. Russo, Anna T. Pinedo
A general securities representative settled Financial Industry Regulatory Authority ("FINRA") charges for advising customers to purchase Leveraged and Inverse Exchange Traded Funds
By Bradley Berman, Michael D. Russo, Anna T. Pinedo
The Attorneys General of seven states – New York, California, Connecticut, Delaware, Maine, New Mexico, Oregon – and the District of Columbia
By Bradley Berman, Michael D. Russo, Anna T. Pinedo
FINRA recently updated its frequently asked questions about Rule 2232, which requires that FINRA members disclose in their confirms to retail customers their markups
By Bradley Berman, Michael D. Russo, Anna T. Pinedo
In Regulatory Notice 19-31 (the "Notice"), FINRA focuses on keeping marketing materials fair and balanced, as required by FINRA Rules 2210 – 2220, but also keeping those materials short and sweet.
By Bradley Berman, Michael D. Russo, Anna T. Pinedo
Section 206(3) makes it unlawful, with certain limited exceptions, for an investment adviser to directly sell or purchase securities to and from clients or to act as a broker for a third party effecting
By Joanna Nicholas
Bylined article by Banking & Finance counsel Joanna Nicholas (New York).
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