Financial Institutions Banking

Published	Title	Organization
Nov 10 2015	CME Issues Market Regulatory Advisory on Position Limits and Accountability Levels	ArentFox Schiff LLP
Nov 10 2015	Highlights of Final Prudential Regulator Margin Rules for Non-Cleared Swaps	Katten
Nov 9 2015	New IRS Regulations for Mixed-Use Projects Financed With Tax-Exempt Bonds Have Particular Importance for Nonprofit Health Care Organizations	Foley & Lardner LLP
Nov 9 2015	Bridging the Week: November 2 - 6 and 9 2015 (Spoofing Conviction; Financial Crimes; CCOs; Tweets and Manipulation)	Katten
Nov 9 2015	U.S. District Court Rules on Defendants’ Motion to Dismiss in Schwab Case Relating to Violation of Fundamental Investment Policies	Vedder Price
Nov 9 2015	Insider Trading Cartoon Series, Vol. II — Temporary Insiders	Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Nov 9 2015	SEC Settles Charges Against Advisory Firms for Failing to Disclose Changes in Investment Strategy of Closed-End Fund	Vedder Price
Nov 9 2015	SEC Pays Whistleblower Bounty Award Exceeding $325,000	Proskauer Rose LLP
Nov 9 2015	Prosecutors Record First-Ever Conviction for ‘Spoofing’: A New Era of Trading Enforcement	Morgan, Lewis & Bockius LLP
Nov 9 2015	FCA Publishes MiFID II Conference Materials for Wholesale Firms	Katten
Nov 8 2015	CFTC Extends Time-Limited Relief to SEFs for Block Trades	Katten
Nov 7 2015	DERA Publishes Study of Unregistered Offering	Katten
Nov 6 2015	Repo Buyers and Sellers Need to be Aware of Tax Issues	Greenberg Traurig, LLP
Nov 6 2015	CME Group Issues Notice Regarding Position Limits and Accountability Levels	Katten
Nov 6 2015	SEC Grants Exemptive Relief With Respect to the Large Trader Rule	Katten
Nov 6 2015	SEC Crowdfunding Rule Summary	Morgan, Lewis & Bockius LLP
Nov 6 2015	Far From the Maddening Crowdfunding: Look at SEC’s Proposed Changes to Rule 147 and Rule 504	Sheppard, Mullin, Richter & Hampton LLP
Nov 6 2015	IRS Issues New Partnership Audit Procedures	Katten
Nov 6 2015	CFTC Staff Publishes Responses to Frequently Asked Questions Regarding Commission Forms CPO-PQR and CTA-PR	Katten
Nov 6 2015	CME Group Issues Notice Related to Employee Supervision	Katten
Nov 6 2015	FCA Publishes Policy Proposals and Handbook Changes Related to the Market Abuse Regulation	Katten
Nov 6 2015	Final Crowdfunding Rules Approved by SEC	Barnes & Thornburg LLP
Nov 5 2015	Time for USCIS to Issue New Funds Guidance Source — Until Then, Here’s What Investors Can Do	Greenberg Traurig, LLP
Nov 5 2015	Credit Default Swap Settlement – Antitrust Cases Provide Recovery Opportunities for Institutional Investors	Mintz
Nov 5 2015	Hollow Nickel, Hollywood And Texas Gulf Sulphur	Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov 5 2015	Eliminating the Vice of Premature Virtue or Anticipatory Remedial Action	Squire Patton Boggs (US) LLP
Nov 3 2015	SEC Permits Companies to Sell Securities Through Crowdfunding	Greenberg Traurig, LLP
Nov 3 2015	Vesting 101 – Whaddya Mean I Don’t Own My Stock?	Varnum LLP
Nov 3 2015	UK Financial Conduct Authority: Interest Hedging Reviews…….it’s not over yet…….	Squire Patton Boggs (US) LLP
Nov 3 2015	Rule 147 Changes May Cause Uptick In California Securities Qualifications	Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov 2 2015	Bridging the Week: October 26 to 30 and November 2, 2015 (Crowdfunding; Malfeasance; TRACE; Overcharges)	Katten
Nov 2 2015	House Financial Services Committee To Hold Mark-Up; Several Agencies Propose, Finalize Various Rules	Squire Patton Boggs (US) LLP
Nov 2 2015	ISS Proposes To Go Overboard In Proposed Policy Change	Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov 1 2015	UK Senior Managers and Certification Regime To Replace FCA Approved Persons Rules for All UK Authorized Firms	Katten
Oct 31 2015	New UK Regulations to Govern Whistleblowing in Financial Institutions	Proskauer Rose LLP

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