Financial Institutions Banking

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Published Title Organization
Dec
2
2015
 NYSE Arca Proposes to Flag ETP Trades that Deviate Significantly from Prevailing Market Prices Morgan, Lewis & Bockius LLP
Dec
1
2015
 Borrowers in EB-5 Deals Not Insulated from Securities Litigation by the SEC Mintz
Dec
1
2015
 SEC Staff Updates Proxy “Unbundling” Guidance for M&A Transactions Hunton Andrews Kurth
Dec
1
2015
 American Express Company v. Signature Systems, LLC: PTAB Decisions on Instituting CBM Review Are Based Only on the Petition and Preliminary Response McDermott Will & Schulte LLP
Dec
1
2015
 FINRA Examination Review Provides Guidance to Identify, Mitigate and Manage Compensation Conflicts Vedder Price
Dec
1
2015
 2015 UK Autumn Statement and Spending Review Released Morgan, Lewis & Bockius LLP
Nov
30
2015
 Between Bridges: November 30, 2015 - CFTC’s Proposed New Algorithmic Trading Rules Augur Potential Increased Obligations and Costs, and a New Registration Requirement [VIDEO] Katten
Nov
30
2015
 SEC Fines Should Prompt Firms Engaged in Political Intelligence To Revisit Insider Trading Policies Covington & Burling LLP
Nov
30
2015
 Should You Use Your IRA to Fund Your Business? [PODCAST] Odin, Feldman & Pittleman, P.C.
Nov
30
2015
 DC Circuit: No False Claims Act Liability for Reasonable, Good Faith Interpretations of Ambiguous Regulations Epstein Becker & Green, P.C.
Nov
30
2015
 New CFTC Proposed Rules on Algorithmic Trading Bracewell LLP
Nov
30
2015
 Maryland District Court Rejects Materiality Requirement for Sarbanes-Oxley Whistleblower Actions Zuckerman Law
Nov
30
2015
 Congress Returns to Washington and Focuses on ISIL, Russia; President Obama Attends the Climate Conference in Paris Squire Patton Boggs (US) LLP
Nov
26
2015
 UK Insolvency Practitioners Watch Out: Don’t Unwittingly Fall Foul of FSMA Squire Patton Boggs (US) LLP
Nov
25
2015
 New Private Funds Report Reviews 2015 and Looks Ahead to 2016 Proskauer Rose LLP
Nov
25
2015
 Where in the world? New ISS policies Squire Patton Boggs (US) LLP
Nov
25
2015
 Midland Credit Seeks SCOTUS Review of 2d Circuit Ruling that Significantly Impairs National Banks’ Ability to Sell Loans at Note Rate Greenberg Traurig, LLP
Nov
24
2015
 To Whom Does “Related Parties” Refer In Auditing Standard No. 18? Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
24
2015
 Forward to The Past: NYSE Returns to Regulation Sheppard, Mullin, Richter & Hampton LLP
Nov
23
2015
 Bridging the Week: November 16 - 20 and 23, 2015 (Personal Accountability; Dark Pools; Proprietary Trader Registration; CCO Liability Redux; WORM) [VIDEO] Katten
Nov
23
2015
 New York Department of Financial Services (NYDFS) Letter: “Potential” Cybersecurity Regulations for Insurers Foley & Lardner LLP
Nov
23
2015
 ABLE Programs and Beneficiaries Boosted by Helpful Guidance from IRS and Social Security Administration Mintz
Nov
21
2015
 CFTC To Hold Open Commission Meeting on Automated Trading Katten
Nov
21
2015
 Anti-Money Laundering Update: Her Majesty's Treasury Advisory Notice on Money Laundering and Terrorist Financing Controls Katten
Nov
20
2015
 Qualified Student Loan Bonds Squire Patton Boggs (US) LLP
Nov
20
2015
 Illinois Supreme Court Holds Trustee of Land Trust is Entitled to Rescind Reverse Mortgage For Failure to Comply With TILA ArentFox Schiff LLP
Nov
20
2015
 CFTC Releases Preliminary Report on the Swap Dealer De Minimis Exception Katten
Nov
20
2015
 ESMA Publishes MiFID II Delay Analysis Katten
Nov
20
2015
 UK FCA Enforcement: Recent Action Against Former Investment Analyst for “Cherry Picking” Katten
Nov
20
2015
 ESMA Issues Public Statement on Collateralization of Bank Guarantees for Energy Derivatives Katten
Nov
20
2015
 SEC Fines Advisers for Allocating Compliance Expenses to Funds Sheppard, Mullin, Richter & Hampton LLP
Nov
20
2015
 Vast Reach of Security Breach re: Experian Data Breach Polsinelli PC
Nov
19
2015
 Recent OFAC Designations Reflect Coordinated Money Laundering Focus Holland & Hart LLP
Nov
19
2015
 Not Too Early (Nor Too Late) To Start Planning for 2016 Action Items Relating to Section 162(m) Performance Grants Morgan, Lewis & Bockius LLP
Nov
18
2015
 SEC Seeks to Bring Down Ponzi Scheme Selling Life Settlements Faegre Drinker
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