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Searching Content from United States indexed under Financial Services ordered by Published Date Descending.
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1
Finance Professor Analyzes Market Liquidity Event, Blames Clearing Mandates
University of Houston Finance Professor Craig Pirrong analyzed volatility in the U.S. overnight funding markets in mid-September.
United States
17 Oct 2019
2
FINRA Changes Method For Calculating Trade Reporting Fees
FINRA proposed updating the method for calculating trade reporting fees under FINRA Rule 7620B for broker-dealers using the FINRA/NYSE Trade Reporting Facility (the "FINRA/NYSE TRF").
United States
17 Oct 2019
3
FINRA Cautions Investors Of Risks In Trading Binary Options
FINRA cautioned investors on the risks associated with binary options and offered guidance on how to avoid certain frauds.
United States
17 Oct 2019
4
ISDA CEO Warns Of Potential Risks Relating To DTOs Post-Brexit
ISDA CEO Scott O'Malia highlighted potential issues affecting derivatives trading obligations following Brexit.
United States
17 Oct 2019
5
Regulation Round Up (September 2019)
The Financial Conduct Authority ("FCA") updated its webpage relating to its guidance consultation on the fair treatment of vulnerable customers.
European Union
17 Oct 2019
6
2019-20 Compliance Developments And Calendar For Private Fund Advisers
While the Securities and Exchange Commission (SEC) brought several enforcement actions in 2018-19, the most significant new developments were published interpretations and alerts.
United States
16 Oct 2019
7
CLO Investors Benefiting From 'MASCOT' Note Flexibility
Bylined article by Banking & Finance counsel Joanna Nicholas (New York).
United States
16 Oct 2019
8
SEC Division Of Corporation Finance Realigns Disclosure Program
On Friday, the Securities and Exchange Commission's Division of Corporation Finance announced big changes in the internal structure of its disclosure program.
United States
16 Oct 2019
9
Second Circuit Breathes New Life Into Conduct And Effects Test
The common thread that seems to explain the Second Circuit's divergent decisions in Brent Crude and Choi is the location of the alleged misconduct.
United States
16 Oct 2019
10
What To Do If Your Third Party Is Embroiled In A Corruption Scandal
Multinational companies may suffer severe reputational and legal risks if third parties with whom they deal become embroiled in corruption scandals. To address this situation, the author describes...
United States
16 Oct 2019
11
Banking M&A: Sticking Points In Recent Community Bank Deals
Reinhart attorneys John Reichert and Melissa Lanska authored an article for Bank Director magazine detailing some "Sticking Points in Recent Community Bank Deals."
United States
15 Oct 2019
12
Polish Data Protection Authority's Position On Making Copies Of Identity Documents By Banks
On September 9, the Polish Data Protection Supervisory Authority (UODO) issued its response to the letter of the President of the Polish Bank Association
United States
15 Oct 2019
13
Taxable Advance Refunding Bonds And The World's Most Boring Ice Cream Cone
Taxable debt tempts us to put the Internal Revenue Code back on the library shelf and the tax lawyers back into their pen.
United States
15 Oct 2019
14
Electronic Discovery & Information Governance - Tip Of The Month: Strategies For The Preservation And Production Of Audio Recordings (September 30, 2019)
A large manufacturer of consumer products invests in new technology to record, store and analyze customer service calls.
United States
15 Oct 2019
15
Milbank Names Deborah Conrad And Michael Duff As New Managing Partners Of Los Angeles Office
Milbank LLP announced today that partners Deborah Conrad and Michael Duff have been named the new Managing Partners of the firm's Los Angeles office.
United States
15 Oct 2019
16
CDS Fix Seeks Support For January Lift-Off
Traders of credit default swaps (CDS) are being asked to sign up to amended rules underpinning their contracts from September 16
United States
15 Oct 2019
17
European Funds Comment: Delays To New EU ESG Rules For Investment Funds
2021 will mark a step change in the way the European Union regulates environmental, social and governance issues (ESG) in the financial services industry.
European Union
14 Oct 2019
18
Broker-Dealer Settles FINRA Charges For Short Positions In Municipal Securities Failures
A broker-dealer settled FINRA charges for failing to implement an adequate supervisory system to address short positions in tax-exempt municipal bonds.
United States
14 Oct 2019
19
Interdealer Brokers Settle CFTC And NYAG Charges For Fraudulent FX Options
Two interdealer brokers ("IDBs") settled separate New York Attorney General ("NYAG") and CFTC charges for fraudulent practices involving foreign exchange currency options.
United States
14 Oct 2019
20
FRB Vice Chair Randal Quarles Reviews FSB Activity
Federal Reserve Board Vice Chair Randal K. Quarles reviewed Financial Stability Board ("FSB") activity and raised issues that continue to affect the global financial system.
United States
14 Oct 2019
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