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  • Article

    FINRA To Elect New Governors At Annual Meeting

    FINRA will elect two new members to the FINRA Board of Governors (one "large firm" governor and one "small firm" governor) at its annual members' meeting on August 22, 2017.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    FINRA Updates API Specifications For TRACE Securitized Products

    FINRA revised and updated the Web API Specifications for TRACE Securitized Products by adding Sub-Product Asset codes and descriptions to Appendix 1.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
Article

FINRA Warns Members Of Fraudulent Phishing Emails

FINRA warned member firms of a phishing email from a purported anti-money laundering compliance officer working at an Indiana-based credit union.
United StatesFinance and Banking
Hogan Lovells Cadwalader
Hogan Lovells Cadwalader
  • Article

    Fleet & Mobility Newsletter

    In the October edition of the Fleet and Mobility newsletter, we spotlight non-traditional rental options - types of rental business models, the associated benefits and risks...
    United StatesFinance and Banking
    Ankura Consulting Group LLC
    Ankura Consulting Group LLC
  • Article

    Former Executive Pleads Guilty In ADR-Related Bid-Rigging Conspiracy

    A former financial services executive pleaded guilty to DOJ antitrust charges, admitting to a bid-rigging conspiracy in connection with the borrowing of pre-release American Depository Receipts
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    Franklin Templeton Adds To K2 Advisors Investment Team

    Asset manager Franklin Templeton hired former UBS O'Connor executive Tim Everett, who has joined alternatives unit K2 Advisors.
    United StatesFinance and Banking
    Herbert Smith Freehills Kramer LLP
    Herbert Smith Freehills Kramer LLP
  • Article

    FRB Affirms Countercyclical Capital Buffer At Zero Percent

    The Federal Reserve Board voted to affirm the Countercyclical Capital Buffer at the current level of zero percent.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    FRB Corrects Comment Date For Raising Threshold Of Regulation TT Assessments

    The Federal Reserve Board ("FRB") corrected the comment deadline for a proposal to raise the threshold for bank holding companies and savings and loan holding companies, subject to Regulation TT assessments.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    FRB Extends Comment Period On Stress Testing

    The Federal Reserve Board ("FRB") corrected an error in the Federal Register, which incorrectly stated the comment period for the FRB's stress test proposal was scheduled to end on February 19, 2019.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    FRB Finalizes Rules That Tailor Its Regulations For Banks To More Closely Match Their Risk Profiles

    On October 10, the Federal Reserve Board (FRB) finalized rules that tailor its regulations for domestic and foreign banks to more closely match their risk profiles.
    United StatesFinance and Banking
    Orrick
    Orrick
  • Article

    FTC Increases National Do Not Call Registry Fees For FY 2020

    The FTC amended the Telemarketing Sales Rule to increase fees for telemarketing businesses seeking access to the National Do Not Call Registry.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    Fund Fanatics Episode Featuring CEO Doug Raetz Of True Capital Management

    Tune into a recent episode of Fund Fanatics with Jeff Maier and Scott Aleali to get an insider's perspective of how your favorite athletes are shaking up the world of private equity...
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    Fund Fanatics Episode With Aiga Capital Partners

    Scott Aleali and Jeff Maier released another episode of "Fund Fanatics" this week, featuring Angel Fierro and Rory Meyers, Co-Founders and Managing Partners of Aiga Capital Partners.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    Fund Fanatics Episode With Rafay Farooqui

    Fund Fanatics Episode with Rafay Farooqui.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    Fund Finance European University Registration Opens

    The Fund Finance Association this week opened registration for Fund Finance European University 2022, which this year will be held virtually on May 4-5, with an in-person networking event in London on the 5th.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    Global Regulators To Meet On Cross-Border Resolution Planning

    On April 13, 2019, U.S., UK and European Banking Union regulators will meet.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    Goodwin Article On NAV Financings And Preferred Equity

    With increasing demand for liquidity solutions, Goodwin has published a resource on reasons why fund managers are turning towards NAV financing and preferred equity tools.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    House Committee on Financial Services Names Chair Of Subcommittee On Investor Protection, Entrepreneurship And Capital Markets

    The U.S. House Committee on Financial Services Democratic Caucus named Representative Brad Sherman (D-CA) as Chair of the Subcommittee on Investor Protection, Entrepreneurship and Capital Markets.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    House Financial Services Committee Elects Vice Chair

    The U.S. House Committee on Financial Services elected Representative Michael San Nicolas (D-GU) as Vice Chair. Mr. San Nicolas ...
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    HUD Extends Foreclosure And Eviction Moratoriums

    In Mortgagee Letter 2020-43, dated January 21, 2021, the U.S. Department of Housing and Urban Development (HUD) extended the foreclosure and eviction moratoriums for FHA insured single-family loans from February 28, 2021 to March 31, 2021.
    United StatesFinance and Banking
    Ballard Spahr LLP
    Ballard Spahr LLP
  • Showing 281–300 of 42733 results

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