Financial Institutions Banking

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Published Title Organization
Sep
9
2016
 CFTC Signs MOU With Two Mexican Authorities Regarding Cross-Border Supervision Katten
Sep
8
2016
 California Court Weighs in on “True Lender” Issue as CFPB Expands its UDAAP Enforcement Authority Morgan, Lewis & Bockius LLP
Sep
8
2016
 Massachusetts Supreme Judicial Court Lends Helping Hand to Inadvertent Lender Omissions in Execution of Mortgage Acknowledgements Murtha Cullina
Sep
8
2016
 European Securities and Markets Authority Publishes Guidelines for UCITS V Remuneration Policy Morgan, Lewis & Bockius LLP
Sep
7
2016
 Best Interest Contract Exemption and IRA Advisor Compensation: Interesting Angles on the DOL’s Fiduciary Rule #18 Faegre Drinker
Sep
7
2016
 Car Dealership That Sets Terms of Credit Must Comply With Equal Credit Opportunity Act Squire Patton Boggs (US) LLP
Sep
7
2016
 International Policy: G20 Summit Alert - Dark Clouds Ahead Covington & Burling LLP
Sep
6
2016
 NYSE Guidance on Equity Plan Amendments for Maximum Share Withholding Morgan, Lewis & Bockius LLP
Sep
6
2016
 Proposed AML Rulemaking Would Expand FinCEN Jurisdiction Dinsmore & Shohl LLP
Sep
6
2016
 CFTC Proposes New Amendments to its Whistleblower Rules Proskauer Rose LLP
Sep
6
2016
 Agency Guidance Issued Regarding Final Standards for Assessing Diversity Policies and Procedures of Regulatory Entities Pursuant to Dodd Frank Section 342 Epstein Becker & Green, P.C.
Sep
6
2016
 Treasury Proposes Regulations That Would Require Private Trust Companies to Establish or Enhance AML Programs and to Identify Beneficial Ownership of Legal Entities Neal, Gerber & Eisenberg LLP
Sep
5
2016
 Significant Developments In Spoofing Cases: Coscia, 3Red and Sarao Greenberg Traurig, LLP
Sep
5
2016
 International Organization of Securities Commissions Publishes Good Practice Guidelines on Fees and Expenses of Collective Investment Schemes Katten
Sep
4
2016
 European Parliament Confirms Non-Objection to MiFIR Delegated Regulation Katten
Sep
3
2016
 The CFPB Outlines Its Proposals for the First-Ever Rules that would Implement the Fair Debt Collection Practices Act Greenberg Traurig, LLP
Sep
3
2016
 UK Financial Conduct Authority Trade Association (FCA) Roundtable on MiFID II Implementation August 3 2016 Katten
Sep
2
2016
 CFPB Finalizes Notable Revisions to Regulations X and Z Greenberg Traurig, LLP
Sep
2
2016
 SEC To Approve FINRA and MSRB Pay-To-Play Rules Katten
Sep
2
2016
 CFTC Proposes Amendments to Whistleblower Awards Process and Anti-Retaliation Authority Morgan, Lewis & Bockius LLP
Sep
2
2016
 CFTC Proposes Amendments to Whistleblower Awards Process Katten
Sep
2
2016
 SEC Adopts Amendments to Rules on Access to Data Obtained by Security-Based Swap Data Repositories Katten
Sep
2
2016
 CFPB Prevails On Summary Judgment Against CashCall, Inc. Sheppard, Mullin, Richter & Hampton LLP
Sep
2
2016
 CFTC Extends Comment Period For Proposed Amendments to CPO Annual Report Regulation Katten
Sep
2
2016
 SEC Approves a Streamlined FINRA Rule Set for Certain Broker-Dealers Engaged Only in Limited Capital Raising Activities Katten
Sep
1
2016
 EB-5 Reauthorization Heading into Lame Duck Session of Congress Mintz
Sep
1
2016
 FTC Requests Comments on Safeguards Rule Covington & Burling LLP
Sep
1
2016
 Nasdaq Makes Preparations to Shorten Settlement Cycle for Securities Transactions from T+3 to T+2 Bracewell LLP
Sep
1
2016
 Broker-Lite: FINRA Built It, But Will They Come? Morgan, Lewis & Bockius LLP
Aug
31
2016
 Treasury Department Releases 2016-17 Priority Guidance Plan for Tax-Exempt Bonds – And It’s Already About One-Third Complete! Squire Patton Boggs (US) LLP
Aug
31
2016
 CFTC Proposed Regulations Will Protect Whistleblowers and Prohibit Gag Clauses Zuckerman Law
Aug
30
2016
 SOX Whistleblower Decision Clarifies Broad Scope of SOX Protected Conduct Zuckerman Law
Aug
29
2016
 EB-5 Securities Law Roundtable Offers Technical Language Resource to Lawmakers Mintz
Aug
29
2016
 FinCEN Proposal Looks to Extend AML Requirements to Non-Federally Regulated Banks Proskauer Rose LLP
Aug
29
2016
 Bail-In and Contractual Recognition: Impact on US and Other Non-EU Counterparties, Potential Impact of Brexit Katten
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