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Searching Content indexed under Finance and Banking by Mayer Brown ordered by Published Date Descending.
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1
Seventh Circuit Issues Surprising Ruling On Sufficiency Of UCC Collateral Description
In a surprising development, on September 11, 2019 the Seventh Circuit Court of Appeals issued a ruling on appeal reversing a lower bankruptcy court decision and found that a UCC financing statement ...
United States
18 Oct 2019
2
FINRA Sanctions Representative And Member For Unsuitable Recommendation Of Financial Product
A general securities representative settled Financial Industry Regulatory Authority ("FINRA") charges for advising customers to purchase Leveraged and Inverse Exchange Traded Funds
United States
18 Oct 2019
3
FINRA Updates Rule 2232 FAQs
FINRA recently updated its frequently asked questions about Rule 2232, which requires that FINRA members disclose in their confirms to retail customers their markups
United States
18 Oct 2019
4
FINRA: Keep Advertising Simple
In Regulatory Notice 19-31 (the "Notice"), FINRA focuses on keeping marketing materials fair and balanced, as required by FINRA Rules 2210 – 2220, but also keeping those materials short and sweet.
United States
18 Oct 2019
5
CLO Investors Benefiting From 'MASCOT' Note Flexibility
Bylined article by Banking & Finance counsel Joanna Nicholas (New York).
United States
16 Oct 2019
6
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
7
Avoiding Mistakes With Record Dates And Ex-Dates
The relationship between record dates and ex-dividend dates (or "ex-dates") for dividends is sometimes unclear to market participants, ...
United States
11 Oct 2019
8
CFPB's Latest Supervisory Highlights Focuses On UDAAPs, Furnishing, And Technical Regulatory Requirements
Earlier this month, the Bureau released its Summer 2019 edition of Supervisory Highlights.
United States
3 Oct 2019
9
U.S. Department Of Labor Finalizes Overtime Rule
The Department of Labor has finalized its new salary thresholds applicable to an employer's obligation to pay overtime and minimum wage.
United States
30 Sep 2019
10
Blended Benefits: LIBOR Replacement Provisions In CLOs
Transactions in the collateralized loan obligation ("CLO") market have generally included some form of LIBOR replacement provisions for over a year, stemming from the announcement in July 2017 ...
United States
30 Sep 2019
11
House Financial Services Committee And House Of Representatives Address Capital Formation Related Bills
This past week, the House Financial Services Committee considered and passed a few bills that would, if passed by the House, result in changes to the securities laws.
United States
26 Sep 2019
12
Proposed Tax Regulations To New Income Acceleration Rule Address Debt Instruments
As you may remember, there were a lot of changes to the U.S. tax law at the end of December 2017. Those changes were enacted by the so-called Tax Cuts and Jobs Act.
United States
25 Sep 2019
13
Global Fintech Financing Trends
CB Insights recently published its Q2 2019 Global Fintech Report.
United States
23 Sep 2019
14
Recent Credit Card ABS Disclosure Trends
In July, the Federal Deposit Insurance Corporation (the "FDIC") proposed a change (discussed here) to certain provisions of its securitization safe harbor rule (the "Rule"),
United States
20 Sep 2019
15
Abusiveness Isn't Dead Yet
Many thought that with former Director Richard Cordray's resignation, the Consumer Financial Protection Bureau (CFPB) would stop using its abusiveness authority in enforcement actions.
United States
16 Sep 2019
16
For The Second Time, Federal Court Dismisses Lawsuit Challenging Proposed OCC Fintech Charter
On Tuesday (September 3, 2019), the U.S. District Court for the District of Columbia issued an order dismissing a lawsuit filed by the Conference of State Bank Supervisors
United States
13 Sep 2019
17
Volcker Rule Revisions: Implications For Structured Finance
The revisions defer further action on the covered fund issues most relevant to securitizations and CLOs to a later rulemaking.
United States
13 Sep 2019
18
Federal Judge Orders CFTC Commissioners To Testify About Public Statements Following The Issuance Of A Consent Order In CFTC v. Kraft
The Wall Street Journal recently quoted Mayer Brown Partner Matthew F. Kluchenek regarding a federal judge's demand that the new chairman and two commissioners of the Commodity Futures Trading Commission
United States
13 Sep 2019
19
Is "Should" Enough? Treasury Releases Its Housing Finance Reform Proposals
If only the U.S. Treasury had a magic wand to ensure that the dozens of recommendations released last night in its long-awaited reform proposals for housing finance would become a reality;
United States
10 Sep 2019
20
Volcker Rule Revisions Adopted By Agencies - August 29, 2019
The US federal banking and functional regulators ("Agencies")1 have finalized revisions to the proprietary trading and compliance program provisions of the Volcker Rule (the "2019 Revisions").2
United States
3 Sep 2019
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