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1
De Minimis Exception To CFTC Swap Dealer Definition Becomes Effective
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.
United States
16 Nov 2018
2
Broker-Dealer Settles FINRA Charges For Failure To Apply Sales Charge Waivers
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.
United States
16 Nov 2018
3
Broker-Dealer Settles FINRA Charges For Regulation SHO Violations
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
United States
16 Nov 2018
5
Ball Of Confusion (That's What The World (Of Leveraged Lending And Other Supervisory Guidance) Is Today)
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...
United States
16 Nov 2018
6
Supreme Court Examines Limits Of Cy Pres Disbursements In Class Action Lawsuits
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.
United States
15 Nov 2018
7
Real Property, Financial Services & Title Insurance Update
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...
United States
15 Nov 2018
8
Broker-Dealer Settles FINRA Charges For Market Access Rule Violations
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...
United States
15 Nov 2018
9
Bank Settles CFTC Charges For Failure To Supervise Swap Dealer Activities
A German-based bank agreed to pay $12 million to settle CFTC charges for failing to sufficiently supervise swap dealer ("SD") activities.
United States
15 Nov 2018
10
Nouveaux services de paiement : le gestionnaire de compte doit-il vérifier le consentement de son titulaire lorsqu'il y donne accès ?
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 ...
United States
15 Nov 2018
11
Corp Fin Chief Accountant Echoes Theme Of Need For Brexit, LIBOR And Cybersecurity Disclosure
Officials at the SEC all seem to be singing the same tune these days, emphasizing the need to amp up company disclosures regarding Brexit, the LIBOR phase-out and cybersecurity.
United States
15 Nov 2018
12
Wisconsin District Court Muddies Waters Surrounding Definition Of An ATDS In Post-ACA International World
Plaintiff Mitchell Maes alleged that Charter Communication repeatedly called his cell phone using a predictive dialer.
United States
15 Nov 2018
13
Recent SEC No-Action, Re-Proposal For Security-Based Swaps Focus On Comparability With Other US Regulators
The SEC's recent actions suggest that the SEC is attempting to avoid that result.
United States
15 Nov 2018
14
Former Precious Metals Trader Pleads Guilty To Spoofing Conspiracy And Commodities Fraud
This case illustrates that the misconduct involved in spoofing may also provide the basis for a charge of price manipulation.
United States
15 Nov 2018
15
FRB Summarizes Banking Conditions And Supervisory And Regulatory Activities
The FRB's report is a worthy read, offering transparency on several fronts.
United States
15 Nov 2018
16
FRB Vice Chair Considers Proposed Amendments To Stress Testing Program
Mr. Quarles stated that elements of the proposal to integrate stress testing with the stress capital buffer will be amended after receiving public comment.
United States
15 Nov 2018
17
SEC To Examine Operations Of Certain Mutual And Exchange-Traded Funds
The OCIE is interested in how the operation of these funds may impact retail investors.
United States
15 Nov 2018
18
Capitol Hill Healthcare Update - November 12, 2018
Below is this week's "Capitol Hill Healthcare Update," which is posted on Mondays when Congress is in session.
United States
15 Nov 2018
19
Proposed FINRA Corporate Financing Rule Change
On October 30, 2018, the Financial Industry Regulatory Authority, Inc. ("FINRA") filed a proposed rule change to amend FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) (the "Rule").
United States
15 Nov 2018
20
The Documents Speak For Themselves – 7th Circuit Holds Oral Testimony Is Insufficient To Defeat Documentary Evidence In FDCPA Case
The Seventh Circuit Court of Appeals has affirmed summary judgment in a recent Fair Debt Collection Practices Act case where the plaintiff alleged that a repossession company demanded payment before she would be allowed to recover personal property left in the vehicle.
United States
15 Nov 2018
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