Mondaq USA: Finance and Banking
Cadwalader, Wickersham & Taft LLP
CFTC Commissioner Brian Quintenz discussed ways in which he believes a lack of transparency during the financial crisis has been addressed ...
Cadwalader, Wickersham & Taft LLP
SIFMA and the Bank Policy Institute (collectively, the "associations") submitted comments to the Federal Reserve Board and the FDIC (collectively, the "agencies") ...
Reed Smith
Earlier this week, New Jersey Governor Phil Murphy announced that the New Jersey Bureau of Securities would start rulemaking to "impose a fiduciary duty on all New Jersey investment professionals.
Kramer Levin Naftalis & Frankel LLP
As regulators in Europe and elsewhere have done, U.S. banking regulators have introduced new regulations designed to facilitate the resolution of a global systemically important bank (GSIB).
Ropes & Gray LLP
ISDA recently published the ISDA 2018 U.S. Resolution Stay Protocol, which is now open for adherence.
Arnold & Porter
In May, President Donald Trump signed into law the Economic Growth, Regulatory Relief, and Consumer Protection Act (the "Growth Act").
Akin Gump Strauss Hauer & Feld LLP
Even though practitioners are awaiting proposed regulations on the new opportunity zone provision, interested parties are already starting to set up qualified opportunity funds to pool investor capital.
Pryor Cashman LLP
On September 10, 2018, the New York Department of Financial Services granted approvals to Paxos and Gemini to offer price-stable cryptocurrencies, or "stablecoins," signifying that regulators are open...
Hunton Andrews Kurth LLP
In our recent article in The Banking Law Journal, we discussed bank regulatory "guidance" that the U.S. Government Accountability Office ("GAO") ...
Cadwalader, Wickersham & Taft LLP
Richard Clarida Sworn In As Vice Chair Of Federal Reserve Board.
Cadwalader, Wickersham & Taft LLP
A Texas company agreed to pay $75,000 to settle CFTC charges of failing to register as a commodity trading advisor.
Cadwalader, Wickersham & Taft LLP
The GMAC was designed to assist the CFTC on matters of public concern to the exchanges, firms and market users regarding the regulatory challenges of a global marketplace.
Cadwalader, Wickersham & Taft LLP
FDIC released data on branch office deposits for all FDIC-insured institutions. The FDIC Summary of Deposits includes deposit totals for each of the more than 88,000 domestic offices ...
Cadwalader, Wickersham & Taft LLP
The Federal Trade Commission ("FTC") increased the fees for telemarketing businesses seeking access to the National Do Not Call Registry ("Registry") ...
Cadwalader, Wickersham & Taft LLP
The Office of the Comptroller of the Currency ("OCC") updated its "Deposit-Related Credit" booklet. The booklet, which is part of the Comptroller's Handbook ...
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to a censure and a $20,000 fine to settle FINRA charges for failing to have an adequate supervisory system as well as written supervisory procedures ("WSPs") ...
Arnold & Porter
On September 7, 2018, after considerable industry feedback and two issuances of temporary relief, the Financial Crimes Enforcement Network (FinCEN) ...
Cadwalader, Wickersham & Taft LLP
An introducing broker and two principals settled charges for failing to supervise employees' handling of accounts owned or controlled by an associated person of a commodity trading advisor and commodity pool operator.
Cadwalader, Wickersham & Taft LLP
CFTC Commissioner Rostin Behnam affirmed the agency's commitment to serving the agricultural industry.
Cadwalader, Wickersham & Taft LLP
The New York State Department of Financial Services filed a Complaint to stop the Office of the Comptroller of the Currency from accepting special purpose national bank charter applications from FinTech companies.
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
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 ...
Milbank, Tweed, Hadley & McCloy LLP
Law students interested in practicing transactional law, from M&A to securities transactions, often ask how much business experience and training they need in order to launch a successful career.
Mayer Brown
On July 26, 2018, the Federal Reserve Board ("FRB") announced the launch of a new publication called the Consumer Compliance Supervision Bulletin.
Hunton Andrews Kurth LLP
The Office of the Comptroller of the Currency ("OCC") yesterday announced that it is now accepting applications for national bank charters from nondepository banking institutions.
Schnader Harrison Segal & Lewis LLP
What's in a name? For debt collectors, the answer potentially is years of litigation according to the Third Circuit's recent opinion in Levins v. Healthcare Revenue Recovery Group LLC.
Cadwalader, Wickersham & Taft LLP
FINRA proposed amending its security futures risk disclosure statement to reflect that Securities Investor Protection Corporation's protection for customer cash ...
Cadwalader, Wickersham & Taft LLP
FINRA released its first annual "Industry Snapshot," a publication containing year over year data on trading activity and statistics on FINRA-registered firms and representatives.
On August 28, 2018, the US Senate confirmed Dan M. Berkowitz and Dawn D. Stump to be commissioners of the US Commodity Futures Trading Commission, returning the Commission to its full five-person complement.
Pryor Cashman LLP
As we previously reported, the Office of the Comptroller of the Currency (OCC) announced in July that it would begin accepting applications from FinTech companies ...
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