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Searching Content indexed under Finance and Banking by Martín Estrada ordered by Published Date Descending.
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1
FINRA Rule 5110 – An Amendment To The Proposed Rule Change
The Financial Industry Regulatory Authority, Inc. ("FINRA") has again released proposed revisions to FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements).
United States
2 Sep 2019
2
FINRA Seeks Comment On Senior Protection Rules
On August 9, 2019, FINRA issued Regulatory Notice 19-27 requesting comments on its rules and administrative processes that most directly apply to financial exploitation of senior investors.
United States
2 Sep 2019
3
Volcker Rule Revisions Adopted By Agencies
The Federal Deposit Insurance Corporation ("FDIC"), Office of the Comptroller of the Currency ("OCC"), Board of Governors of the Federal Reserve System ("Federal Reserve"),
United States
2 Sep 2019
4
FIMSAC Approves Recommendation For Investor Education Regarding Retail Notes
In a meeting held on July 29, 2019, the SEC's Fixed Income Market Structure Advisory Committee ("FIMSAC") unanimously approved its Corporate Bond Transparency Subcommittee's
United States
2 Sep 2019
5
Refresher: Using Free Writing Prospectuses For Structured Notes Offerings
With the SEC's Securities Offering Reforms in December 2005 came a new tool for offering securities: the free writing prospectus.
United States
13 Jun 2019
6
Revised Notice Of Proposed Rule Change To FINRA Rule 5110
FINRA recently refiled its proposed rule change to amend FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements).
United States
11 Jun 2019
7
House Passes Resolutions On Financial Literacy And Support For Elderly
On April 30, 2019, the U.S. House of Representatives passed H. R. 328, Supporting the Protection of Elders Through Financial Literacy and H.R. 1876, the Senior Security Act of 2019.
United States
11 Jun 2019
8
Unsuitable Sales Of Leveraged ETFs Draw FINRA's Ire; Text Messaging Violates Communications Rules
The Financial Industry Regulatory Authority, Inc. has been quite clear on its views of "non-traditional exchange traded products," such as leveraged inverse exchange-traded notes and exchange-traded funds.
United States
10 Jun 2019
9
"Ban Conflicted Trading Act" Referred To Senate Committee
In December 2018, Bill 3718 (the "Bill") was introduced in the Senate and referred to Committee. The Bill, or the "Ban Conflicted Trading Act," ...
United States
14 Jan 2019
10
ISDA Benchmark Supplement
Introduction to the ISDA Benchmarks Supplement.
European Union
31 Oct 2018
11
Market Trends 2017/18: U.S. Tariff Policies
Since January 2018, the present U.S. administration has imposed a series of tariff policies (U.S. Tariff Policies) that potentially have a wide range of consequences to domestic and international trade and the capital markets.
United States
29 Oct 2018
12
FINRA Releases Report On The Rise Of RegTech
RegTech may be particularly helpful as FINRA members begin to engage in electronic structured products trading platforms.
United States
29 Oct 2018
13
A New ARRC Consultation Addresses LIBOR Fallbacks For Floating Rate Notes
For each cessation trigger and the steps in the two waterfalls above, the Consultation requests input from market participants as to their feasibility and other aspects.
United States
24 Oct 2018
14
SEC Releases C&DIs Regarding Regulation Crowdfunding
The SEC Staff notes that an intermediary is permitted to have a financial interest in the issuer.
United States
19 Oct 2018
15
Chair Clayton's Congressional Testimony
In his most recent testimony before Congress, SEC Chair Jay Clayton focused on Main Street investors. Addressing standards of conduct for broker-dealers and investment advisers, Chair Clayton noted that the rulemaking package issued in April this year would enhance retail investor protection and understanding while preserving retail investor access.
United States
25 Jul 2018
16
Fifth Circuit Vacates Fiduciary Rule
On June 21, 2018, in a 2-1 decision, the U.S. Court of Appeals for the Fifth Circuit issued its mandate formally vacating the U.S. Department of Labor's ("DOL") conflict of interest rule and its related exemptions (the "Fiduciary Rule").
United States
25 Jul 2018
17
REVERSEinquiries: Volume 1, Issue 4
REVERSEinquiries is Mayer Brown's new structured and market-linked productsIn this issue, we discuss:
United States
25 Jul 2018
18
The ARRC Releases its Guiding Principles for New LIBOR Fallbacks
On July 9, 2018, the Alternative Reference Rates Committee (the "ARRC") announced voluntary guiding principles for market participants to use in developing new LIBOR fallbacks for cash products, which include USD LIBOR floating rate notes.
United States
25 Jul 2018
19
Broker-Dealer Sanctioned for Encouraging Early Resales of Structured Notes
On June 25, 2018, the Securities and Exchange Commission, or the SEC, announced that a broker-dealer settled charges relating to recommended resales of structured notes and certificates of deposit to retail investors between January 2009 and June 2013.
United States
25 Jul 2018
20
Commissioner Stein on Complex Products
On June 7, 2018, SEC Commissioner Kara Stein spoke at a conference and once again focused on complex products.
United States
25 Jul 2018
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