21,175 results found

A broker-dealer settled FINRA charges for failing to implement a supervisory system in connection with the sale to retail investors of leveraged

Last week, Assembly Member Grayson gutted and amended AB 2269 so as to create a "Digital Financial Assets Law". This law would require persons engaging in digital financial asset business...

The CFPB delayed the compliance date for an amendment to the definition of the General Qualified Mortgage ("General QM") category under Regulation Z.

The proposed $235 million settlement does not include a $100 million settlement with Residential Capital, LLC that had previously been reached in the case.

With the record-breaking campaign expenditures of the 2014 midterm elections behind us, and the 2016 campaign cycle already heating up, this is an ideal moment for investment advisers (including advisers to venture capital funds and certain private equity and hedge funds) to ensure that they have mechanisms in place to verify compliance with the U.S. Securities and Exchange Commission’s pay-to-play rule.

On June 17, the Council of the EU issued a press release regarding its adoption of a regulation and a directive enacting a one-year delay to the new securities market rules.

Quite a number of collective investment vehicles, including funds, and other entities that may not be viewed by the CFTC as "operating companies" may, in the absence of specific relief or an available exemption, be a "commodity pool."

SEC proposes amendments to money market fund rules. SEC proposes updates to insider trading disclosure and affirmative defense requirements.

The SEC announced that its staff will host a roundtable early next year to discuss the impact of decimal-based stock trading on small and mid-sized companies, market professionals, investors, and U.S. securities markets.

A joint final rule from the SEC and CFTC to reduce margin requirements for security futures was published in the Federal Register.

Family offices navigating securities regulation may find themselves exempt from investment adviser registration under the Advisers Act, yet still bound by institutional investment manager filing requirements under Section 13(f) of the Exchange Act. Understanding this regulatory distinction is crucial for developing comprehensive compliance strategies that address both exemption status and ongoing reporting obligations.

The FDIC published proposed amendments to its regulations requiring insured state nonmember banks and subsidiaries to register with the FDIC as transfer agents for "qualifying securities"...

The FDIC also has proposed additional regulation of transfer agents.

The CFTC requested comments on proposed rules and interpretations that address the cross-border application of certain swap provisions under the CEA.

A FINRA proposal to delay, from March 25, 2020 to March 25, 2021, the implementation date of rule amendments on margin requirements for Covered Agency

A FINRA proposal to amend Rule 11900 ("Clearance of Corporate Debt Securities") was published in the Federal Register. Comments must be submitted by February 20, 2020.

The U.S. Treasury Department Office of the Assistant Secretary for Financial Markets amended certain government securities broker-dealer recordkeeping and reporting rules to conform to recently updated SEC rules for broker-dealers.

On December 20, the Federal Housing Finance Agency announced it had reached a settlement for $1.925 billion with Deutsche Bank AG to resolve claims pending in the United States District Court for the Southern District of New York related to the sale of private-label RMBS between 2005 and 2007.