Mondaq USA: Finance and Banking
Mayer Brown
On October 31, 2018, the NYSE filed a proposed amendment to the Listed Company Manual to modify the price requirements for purposes of determining whether shareholder approval
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
On November 5, 2018, the Commodity Futures Trading Commission (CFTC) voted 5-0 to approve a final rule amending the swap dealer registration trigger or activity threshold.
Troutman Sanders LLP
Some merchants prefer their customers to pay for their purchases with cash so they can avoid transaction fees associated with credit card purchases.
Butler Snow LLP
The 2018 amendments to Rule 15c2-12 (the "Rule") make the following additions to the continuing disclosure requirements applying to most publicly-held municipal securities:
Troutman Sanders LLP
As America's check collection system continues to move away from being paper-based, the Federal Reserve Board is updating the liability provisions of Regulation CC to reflect this reality.
Cadwalader, Wickersham & Taft LLP
The CFTC final rule amending the definition of "swap dealer" was published in the Federal Register. The rule is effective as of November 13, 2018.
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to settle FINRA charges for failure to identify and apply mutual fund sales charge waivers to eligible retirement accounts and charitable organizations.
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to pay $215,000 to settle FINRA charges for failing to comply with close-out obligations in connection with delivery fails resulting from sales of equity securities, as requ
Stroock & Stroock & Lavan LLP
On October 31, 2018, the Department of the Treasury and the Internal Revenue Service ("IRS")
Mayer Brown
With apologies to the Temptations, the title to their classic song seems to apply to the current state of leveraged lending and other supervisory guidance issued by various regulatory agencies...
Troutman Sanders LLP
On October 31, the Supreme Court heard oral argument in Frank v. Gaos (No. 17-961), a case challenging the use and limits of cy pres deals in class action lawsuits.
Carlton Fields
Imputation of Implied Actual Notice: the fact that an unrelated purchaser of property was aware that seller was being sued on an unsecured indebtedness did not create a legal duty...
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to pay $50,000 to settle FINRA charges that it failed to "establish, document, and maintain" a system of adequate risk management controls and supervisory...
Cadwalader, Wickersham & Taft LLP
A German-based bank agreed to pay $12 million to settle CFTC charges for failing to sufficiently supervise swap dealer ("SD") activities.
Kramer Levin Naftalis & Frankel LLP
Paris counsel Pierre Storrer's article "Nouveaux services de paiement : le gestionnaire de compte doit-il vérifier le consentement de son titulaire lorsqu'il y donne accès ?" was published in Banque ...
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
The SEC's recent actions suggest that the SEC is attempting to avoid that result.
Cadwalader, Wickersham & Taft LLP
This case illustrates that the misconduct involved in spoofing may also provide the basis for a charge of price manipulation.
Cadwalader, Wickersham & Taft LLP
The FRB's report is a worthy read, offering transparency on several fronts.
Cadwalader, Wickersham & Taft LLP
Mr. Quarles stated that elements of the proposal to integrate stress testing with the stress capital buffer will be amended after receiving public comment.
Cadwalader, Wickersham & Taft LLP
The OCIE is interested in how the operation of these funds may impact retail investors.
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Mayer Brown
California enacts a first-of-its-kind legislation imposing disclosure requirements on commercial purpose loans similar ...
Troutman Sanders LLP
Non-bank lenders to small businesses need to be on alert after Governor Brown signed California Senate Bill 1235 into law on September 30, 2018.
Mayer Brown
RegTech may be particularly helpful as FINRA members begin to engage in electronic structured products trading platforms.
Stroock & Stroock & Lavan LLP
The 2017 Tax Cuts and Jobs Act created a new incentive for investment in qualified low-income communities known as qualified opportunity zones ("QOZs").
Ostrow Reisin Berk & Abrams
The Tax Cuts and Jobs Act (TCJA) includes a provision that Secretary of the Treasury Steven Mnuchin said should lead to $100 billion in capital investments in distressed areas
Hunton Andrews Kurth LLP
On October 19, 2018, the Internal Revenue Service issued (a) highly-anticipated, first set of proposed regulations (REG-115420-18) providing guidance on investing in Qualified Opportunity Funds ...
Ropes & Gray LLP
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
Lewis Roca Rothgerber Christie LLP
A recent change to California law significantly limits the ability of debt collectors to collect a time-barred consumer debt. Effective January 1, 2019, amendments to the Rosenthal Fair Debt Collection Practices Act ...
Mayer Brown
It is extremely rare that a section of the US Internal Revenue Code of 1986, as amended (the "Code") ...
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