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Morrison Foerster

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Article
Congresswoman Waters Introduces Bad Actor Disqualification Act
On July 27, 2017, Ranking Member of the House Committee on Financial Services, Congresswoman Maxine Waters, introduced the Bad Actor Disqualification Act of 2017.
United StatesFinance and Banking
Morrison Foerster
Article
Deposit Processing Is Subject Of New UDAAP Enforcement
The CFPB, OCC and FDIC took action on August 12, 2015 against three banks in the Citizens Bank corporate family, resulting in $11 million in required restitution and a total of $20.5 million in federal civil money penalties.
United StatesFinance and Banking
Morrison Foerster

Family Offices MayBbe Considered Investment Advisers For Purposes Of FINRA Rule 5131

On May 9, 2017, FINRA issued an interpretive letter stating that family offices may be considered investment advisers for purposes of meeting the limited exception of FINRA Rule 5131.02(b).

United StatesFinance and Banking

Morrison Foerster

FDIC Enters Consent Order With Bank Regarding Prepaid Card Disclosures

On March 7, 2018, the Federal Deposit Insurance Corporation (FDIC) entered into a consent order with The Bancorp Bank for allegedly making inaccurate disclosures ...

United StatesFinance and Banking

Morrison Foerster

Financial Services Report – Winter 2017

The holidays came early for the financial services industry. First, the Senate voted to repeal the CFPB's rule banning class waivers in arbitration agreements in consumer financial contracts.

United StatesFinance and Banking

Morrison Foerster

FINRA Announces And Publishes Its Sweep Of Order Routing Practices

FINRA is conducting a review of its member firms’ order-routing processes and procedures and the execution quality of customer orders in exchange-listed stocks.

United StatesFinance and Banking

Morrison Foerster

FINRA Regulatory Notice On Crowdfunding Portals

Today, FINRA released a regulatory notice with proposed funding portal rules and solicited comments on the seven rules.

United StatesFinance and Banking

Morrison Foerster

FINRA To Conduct Targeted Exams Of Unit Investment Trust Rollovers

FINRA recently announced that it will be conducting an inquiry into unit investment trust ("UIT") rollovers.

United StatesFinance and Banking

Morrison Foerster

House Passes Adjustable Interest Rate (LIBOR) Act Of 2021

On Wednesday, December 8, 2021, the U.S. House of Representatives passed the Adjustable Interest Rate (LIBOR) Act of 2021, which facilitates the transition away from the London Interbank Offered Rate (LIBOR).

United StatesFinance and Banking

Morrison Foerster

Impactful Conversations: A Conversation With Andrew Macintosh At March Fund

In this episode of Impactful Conversations, Susan Mac Cormac, the chair of MoFo's Energy and Social Enterprise and Impact Investing practices, interviews Andrew Macintosh...

United StatesFinance and Banking

Morrison Foerster

Impactful Conversations: An Interview With Henrik Jones At Buckhill Capital

In this special shelter-in-place edition of "Impactful Conversations" podcast, MoFo fund formation lawyer Sean Byrne interviews Buckhill Capital General Partner Henrik Jones...

United StatesFinance and Banking

Morrison Foerster

Improving Access To Capital Act Moves Forward In The House

The House Financial Services Committee met on Tuesday, July 25, 2017 and approved four bipartisan bills.

United StatesFinance and Banking

Morrison Foerster

Investment Adviser Compliance Index

The Investment Advisers Act of 1940 (the "Advisers Act") is the shortest of the federal securities laws enacted after the Great Depression, and the SEC has historically

United StatesFinance and Banking

Morrison Foerster

JOBS Act Related Bills Move Forward

At the end of last week, the House Financial Services Committee approved two bills, H.R. 3623 and H.R. 4164.

United StatesFinance and Banking

Morrison Foerster

Key Differences In The U.S./European Leveraged TLB Markets

Our London finance attorneys provided a virtual presentation to a series of banks on key differences in the U.S./European leveraged TLB markets.

United StatesFinance and Banking

Morrison Foerster

"Meet The Partner" – Rick Fischer (Video)

Rick has nearly 50 years of experience advising banks, retailers, insurers, and other companies throughout the United States on the full range of financial services and payment system issues.

United StatesFinance and Banking

Morrison Foerster

New Valuation Guidance: A Reminder Of Directors’ Responsibilities

In the release, the SEC reminded fund directors that they have a non-delegable statutory duty to determine the fair value of portfolio securities when market prices are not available.

United StatesFinance and Banking

Morrison Foerster

New York City's Attempt To Forcibly Combine Bank And Its Non–New York City Mortgage Subsidiary For Bank Tax Purposes Rejected

The New York City Chief Administrative Law Judge has held that Astoria Bank was not required to include in its combined New York City bank tax returns its Connecticut subsidiary that held non–New York mortgage loans.

United StatesFinance and Banking

Morrison Foerster

No Portal Necessary

With increasing frequency, we are asked whether an issuer that is considering a Regulation A offering is required to engage or use the services of a funding portal.

United StatesFinance and Banking

Morrison Foerster

No Surprise Here—CFPB Proposes To Significantly Curtail Arbitration Agreements

Today, the CFPB announced its proposals regarding arbitration agreements in consumer financial product contracts.

United StatesFinance and Banking

Morrison Foerster

Showing 921–940 of 7917 results

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