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Searching Content from United States indexed under Finance and Banking ordered by Published Date Descending.
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1
CFTC Grants Largest Whistleblower Award
The CFTC granted its largest-ever whistleblower award to an individual who reported information that resulted in a successful enforcement action.
United States
18 Jul 2018
2
Commodity Trading Firm Settles Charges Of Manipulating Wheat Futures And Options Prices
A commodity trading firm agreed to settle CFTC charges of attempting to manipulate the price of certain futures and options contracts.
United States
18 Jul 2018
3
CFTC Market Risk Advisory Committee Considers LIBOR Transition
The CFTC Market Risk Advisory Committee ("MRAC") considered issues related to LIBOR reform initiatives and efforts to develop the Secured Overnight Financing Rate ("SOFR") as a viable alternative rate.
United States
18 Jul 2018
4
ISDA Initiates Market-Wide Consultation On New Benchmark Fallbacks For Derivatives Contracts
ISDA initiated a "market-wide consultation" on issues concerning new benchmark fallbacks for derivatives contracts that reference certain interbank offered rates ("IBORs").
United States
18 Jul 2018
5
US Corporate Law News: SEC Considers Easing ETF Rules
On June 28, 2018, the Securities and Exchange Commission ("SEC") considered whether to adopt an exchange traded fund ("ETF") ...
United States
18 Jul 2018
6
Opportunities In Permanent Capital Vehicles
Fund managers considering opportunities in permanent capital vehicles have a variety of alternatives to choose from.
United States
18 Jul 2018
7
Funds Talk: July 2018
Fund managers considering opportunities in permanent capital vehicles have a variety of alternatives to choose from.
United States
18 Jul 2018
8
Cannabis Banking Is A Matter Of Public Safety
Let's say ABC LLC applied for and was granted permits to grow, process and dispense cannabis pursuant to its state's medical marijuana regulations.
United States
18 Jul 2018
9
Expect Focus - Life Insurance, Volume II, June 2018
Expect Focus - Life Insurance, Volume II, June 2018
United States
18 Jul 2018
10
Basel Committee Finalizes Revised Assessment Framework For G-SIBs
On July 5, 2018, the Basel Committee on Banking Supervision published a revised methodology and the higher loss absorbency (HLA) requirement for the assessment of Global Systemically Important Banks.
United States
18 Jul 2018
11
US Board Of Governors Of The Federal Reserve System Announces Stress Test Results
On June 21, 2018, the U.S. Board of Governors of the Federal Reserve System announced the results of the eighth and latest round of Dodd-Frank Act stress testing.
United States
17 Jul 2018
12
Financial Stability Board Finalizes Guidance To Support G-SIB Resolution Planning
On June 21, 2018, following consultation on draft guidance in November 2017, the Financial Stability Board published two finalized guidance papers on aspects of the recovery and resolution ...
United States
17 Jul 2018
13
CFTC Proposes Relaxed Regulatory Burdens For SROs
The CFTC unanimously approved proposed regulatory amendments intended to simplify obligations imposed on a self-regulatory organization (SRO) when carrying out its...
United States
17 Jul 2018
14
New Investment Structure: Performance Aligned Stock
The investment world is experiencing a rapid shift in its operational assumptions. Increasingly, investors are recognizing that environmental
United States
17 Jul 2018
15
Financial Regulatory Developments Focus - July 12, 2018 Issue 27/2018
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms ...
United States
17 Jul 2018
16
Making Cannabis Banking Easier Is In The Public Interest
Cannabis is one of the fastest-growing industries in the United States
United States
17 Jul 2018
17
NFA Inspects Hong Kong Based Investment Managers
The U.S. National Futures Association (NFA) has confirmed that it has commenced its first-ever, on-site inspection program of NFA member firms located in Hong Kong.
United States
17 Jul 2018
18
New York Pushes Mutual Fund Active Share Disclosure
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."
United States
16 Jul 2018
19
Exchange-Traded Funds: Proposed Rule 6c-11
After 26 years and the issuance of over 300 exemptive orders, the Securities and Exchange Commission (SEC or Commission), through the rulemaking process, is seeking to simplify and streamline the regulatory process for new exchange-traded funds (ETFs) to reach the market, and to level the competitive playing field among existing ETFs.
United States
16 Jul 2018
20
CFPB Acting Director Appoints Acting Deputy Director
Consumer Financial Protection Bureau ("CFPB") Acting Director Mick Mulvaney selected Brian Johnson as Acting Deputy Director of the CFPB.
United States
16 Jul 2018
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