Mondaq USA: Finance and Banking
Carlton Fields
New York's Attorney General issued a report on its recent investigation of fees charged by actively managed equity mutual funds and a metric known as "Active Share."
Cadwalader, Wickersham & Taft LLP
Consumer Financial Protection Bureau ("CFPB") Acting Director Mick Mulvaney selected Brian Johnson as Acting Deputy Director of the CFPB.
Cadwalader, Wickersham & Taft LLP
The ARRC issued guiding principles to working groups on "fallback language for new financial contracts" in order to address risks and "minimize disruptions associated with a possible end...
TMF Group
As banks have reduced credit lines and shrunk their balance sheets, funds with money to deploy have been looking for new opportunities which will generate returns.
Shearman & Sterling LLP
The Securities and Exchange Commission on June 28, 2018 proposed a long-anticipated rule that would allow most exchange-traded funds (ETFs) ...
Stroock & Stroock & Lavan LLP
On May 30, 2018, the Board of Governors of the Federal Reserve System, together with the Commodity Futures Trading Commission, the Federal Deposit Insurance Corporation ...
Davis & Gilbert
Observing the rising tide of borrower delinquencies in subprime auto lending, I'm reminded of that famous outburst by the former NFL coach, Dennis Green.
Davis & Gilbert
Seven securitizations totaling $4.3 billion closed in Q1 2018, up 34% versus a year ago and representing the second-highest issuance in any quarter (after Q4 2017).
Shearman & Sterling LLP
On June 18, 2018, John C. Williams became the 11th President and Chief Executive Officer of the Federal Reserve Bank of New York.
Cadwalader, Wickersham & Taft LLP
The Federal Reserve Board ("FRB") issued the results of its yearly Comprehensive Capital Analysis and Review ("CCAR"). CCAR is an assessment of the capital adequacy...
Cadwalader, Wickersham & Taft LLP
The SEC proposed a new rule that would modify the approval process for certain exchange-traded funds ("ETFs").
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, effective dates and compliance dates.
Morrison & Foerster LLP
On July 2, 2018, the State of Massachusetts announced that it was investigating 10 broker-dealers that have 15% or more of their agents with current disciplinary incidents and that offer private placements...
Thompson Coburn LLP
In May, President Trump signed into law the Economic Growth, Regulatory Relief, and Consumer Protection Act (the "Act").
Cadwalader, Wickersham & Taft LLP
The FDIC and the Federal Reserve Board ("FRB") extended the deadline for 14 domestic firms to submit their next resolution plans.
Jones Day
In the landmark Morrison decision in 2010, the U.S. Supreme Court held that Section 10(b) of the Securities Exchange Act of 1934 does not apply extraterritorially, and that the statute...
Cadwalader, Wickersham & Taft LLP
Click on the links to view SEC notices of exchange rule changes and proposals for the week of June 25 to June 29, 2018.
Cadwalader, Wickersham & Taft LLP
A national bank reached an agreement with the Consumer Financial Protection Bureau ("CFPB") to pay $335 million in restitution to customers affected by alleged failures to appropriately adjust annual credit card interest rates.
Cadwalader, Wickersham & Taft LLP
The FDIC and the Federal Reserve Board (collectively, the "agencies") proposed updates to their resolution planning guidance for the eight largest U.S. banks.
Cadwalader, Wickersham & Taft LLP
Comments on the proposal will be due 60 days following the date of its publication in the Federal Register.
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
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 ...
Shearman & Sterling LLP
On April 16, 2018, President Donald Trump announced his intent to nominate Michelle Bowman and Richard Clarida to serve as Members of the U.S. Board of Governors of the Federal Reserve System.
Shearman & Sterling LLP
June 12, 2018, the U.S. Senate Committee on Banking, Housing, and Urban Affairs approved the nominations of the Honorable Richard Clarida to be a Member and Vice Chairman of the Federal Reserve Board ...
Holland & Knight
The rapid proliferation of technological advancements in global financial markets has caused regulators in several countries to increase their scrutiny of investments in, and implications of, cryptocurrencies.
Cadwalader, Wickersham & Taft LLP
Federal Reserve Board ("FRB") Vice Chair for Supervision Randal K. Quarles outlined the agency's recent efforts to review and improve its regulatory framework ...
Shearman & Sterling LLP
On June 14, 2018, the U.S. Board of Governors of the Federal Reserve System approved a final rule, which implements section 165(e) of the Dodd-Frank Act and establishes single-counterparty credit limits for bank ...
Shearman & Sterling LLP
On June 7, 2018, the Council of the European Union and the European Parliament announced their agreement on new EU criminal sanctions for money laundering. The proposed Countering Money Laundering ...
Shearman & Sterling LLP
On June 18, 2018, the Federal Reserve Bank of New York's new President, John C. Williams, discussed banking cultural reform at the FRBNY's annual Governance and Culture Reform Conference.
Cadwalader, Wickersham & Taft LLP
The Federal Reserve Board ("FRB") issued the results of its yearly Comprehensive Capital Analysis and Review ("CCAR"). CCAR is an assessment of the capital adequacy...
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