Financial Institutions Banking

Published between:
Published Title Organization
Jan
15
2016
 Study Shows Dramatic Rise in the SEC’s Use of its Administrative Court for Enforcement Actions Greenberg Traurig, LLP
Jan
15
2016
 New Antidumping and Countervailing Duty Petitions on Certain Biaxial Integrated Geogrid Products from China Faegre Drinker
Jan
15
2016
 CFTC Technology Advisory Committee To Meet on January 26 Katten
Jan
15
2016
 SEC 2016 Examination Priorities Focus on ETFs, Cybersecurity and Liquidity Controls for Fixed-Income Funds Katten
Jan
15
2016
 CFTC Issues No-Action Relief From the Swap Clearing Requirements for Small Bank Holding Companies, Small Savings and Loan Holding Companies, and Certain Community Development Financial Institutions Katten
Jan
15
2016
 Electronic Filing of Broker-Dealer Annual Reports ArentFox Schiff LLP
Jan
14
2016
 SEC Requests Public Comment on Transfer Agent Regulation Proposal and Concept Release Morgan, Lewis & Bockius LLP
Jan
14
2016
 More Maladroit Drafting From SEC Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
13
2016
 SEC Issues Guidance Regarding Mutual Fund “Distribution-in-Guise” Payments ArentFox Schiff LLP
Jan
13
2016
 U.S. District Court Says No to Marijuana Industry Credit Union in Colorado Wilson Elser Moskowitz Edelman & Dicker LLP
Jan
13
2016
 U.S. Anti-Money Laundering Regulator Targets Shell Company Purchasers of Residential Real Estate Holland & Hart LLP
Jan
13
2016
 Deadline Approaches for Annual CPO/CTA Exemption Filings Morgan, Lewis & Bockius LLP
Jan
13
2016
 Second Multi-employer Pension Plan Seeks to Reduce Core Benefits Jackson Lewis P.C.
Jan
13
2016
 Red Flag Warnings for Banks: Ignore Them At Your Peril Squire Patton Boggs (US) LLP
Jan
12
2016
 Our Financial Services Regulatory Crystal Ball for 2016 Morgan, Lewis & Bockius LLP
Jan
12
2016
 Special Reporting Requirements Regarding Exercises of Incentive Stock Options and Transfers of Stock Acquired Under Employee Stock Purchase Plans (2016 Update) Hunton Andrews Kurth
Jan
12
2016
 SEC Settles with Investment Adviser over 2015 False Performance Claims Vedder Price
Jan
12
2016
 SEC Settles Charges Against JP Morgan Chase for Failing to Disclose Conflicts of Interest Arising from Preferences for Proprietary Funds Vedder Price
Jan
12
2016
 How Has Supreme Court Decision in Fifth Third Bancorp v. Dudenhoeffer Affected Litigation Over Company Stock in Retirement Plans? The National Center for Employee Ownership
Jan
12
2016
 FINRA Sanctions Barclays Capital for Unsuitable Mutual Fund Transactions and Related Supervisory Failures Vedder Price
Jan
12
2016
 SEC Releases Guidance Following Distribution-in-Guise Sweep Faegre Drinker
Jan
12
2016
 SEC Proposes New Exemptive Rule Governing Funds’ Use of Derivatives Vedder Price
Jan
12
2016
 Current Status of Clearing Obligation Under EMIR - European Market Infrastructure Regulation Morgan, Lewis & Bockius LLP
Jan
11
2016
 New York State Tax Department Relaxes Investment Income Identification Rules McDermott Will & Schulte LLP
Jan
11
2016
 CFPB Issues Letter on TRID Enforcement and Liability: Consumer Financial Protection Bureau Sheppard, Mullin, Richter & Hampton LLP
Jan
11
2016
 Congress Focuses on Nonproliferation (Iran, North Korea); President Obama Focuses on State of Union Address Squire Patton Boggs (US) LLP
Jan
11
2016
 Wisconsin Enacts Written Credit Agreements Law Michael Best & Friedrich LLP
Jan
11
2016
 Bridging the Week: January 4 – 8 and 11, 2016 (Spoofing; Sentinel Management; Steven A. Cohen; AML; Block Trades) Katten
Jan
11
2016
 Did Utah’s Securities Commission Really Call Out California’s Commissioner? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
11
2016
 ESMA Publishes Consultation Guidelines on MiFIR Katten
Jan
11
2016
 Congress Takes Up Financial Services Bills; SEC Expected to Move Forward with Several Regulations Squire Patton Boggs (US) LLP
Jan
11
2016
 European Union Publishes Implementing Directive on Whistleblowing Under Market Abuse Katten
Jan
10
2016
 Revised Pay-to-Play Rules Katten
Jan
10
2016
 Notice of Filing of Proposed Rule Change To Adopt Capital Acquisition Broker Rules Katten
Jan
9
2016
 CFTC Reminds SDs and MSPs of Swap Reporting Obligations Katten
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