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Results: 1-10 of 54

SEC solicits public comment for study on broker-dealer and investment adviser standards of care

  • Alston & Bird LLP
  • -
  • USA
  • -
  • July 28 2010

Yesterday, the SEC published a request for public comment in connection with its study, required by Section 913 of the Dodd-Frank Act, of the obligations and standards of care of broker-dealers and investment advisers providing personalized investment advice about securities to retail investors

Senate Banking Committee holds hearing on SEC Inspector General's Sanford Report

  • Alston & Bird LLP
  • -
  • USA
  • -
  • September 23 2010

Yesterday, the Senate Banking Committee held a hearing entitled "Oversight of the SEC Inspector General's Report on the 'Investigation of the SEC's Response to Concerns Regarding Robert Allen Sanford's Alleged Ponzi Scheme' and Improving SEC's Performance."

Treasury, Federal Reserve, FDIC and OCC issue joint statement regarding Supervisory Capital Assessment Program, Capital Assistance Program and repayments of CPP funding

  • Alston & Bird LLP
  • -
  • USA
  • -
  • May 6 2009

This afternoon, the Treasury Department, Federal Reserve, FDIC and OCC issued a joint statement addressed a variety of questions arising under the pending Supervisory Capital Assessment Program (SCAP) and its interrelationship with Treasury's Capital Assistance Program (CAP

Standard & Poor’s identifies likely European targets and potential U.S. acquirers

  • Alston & Bird LLP
  • -
  • European Union, USA
  • -
  • July 9 2010

In recent weeks, Standard & Poor's Market, Credit, and Risk Strategies (MCRS) group released its findings regarding the likelihood of U.S. companies engaging in mergers and acquisitions in Europe while also identifying possible targets

Providence Bank assumes all of the deposits of Premier Bank

  • Alston & Bird LLP
  • -
  • USA
  • -
  • October 17 2010

On Friday, the Missouri Division of Finance closed Premier Bank, headquartered in Jefferson City, Missouri, and appointed the FDIC as receiver

TCF Financial files suit challenging constitutionality of Durbin amendment

  • Alston & Bird LLP
  • -
  • USA
  • -
  • October 13 2010

On Tuesday, TCF National Bank, one of the nation's largest debit card issuers, announced that it had filed suit challenging the constitutionality of the so-called "Durbin amendment" to the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act) "on three separate grounds: the regulations take our property without just compensation and without Due Process of Law; and they also deny us Equal Protection under the law."

Moody's discloses receipt of Wells Notice

  • Alston & Bird LLP
  • -
  • USA
  • -
  • May 10 2010

In its Form 10-Q filed late on Friday, Moody's Corporation disclosed that, on March 18, 2010, it "received a 'Wells Notice' from the Staff of the SEC stating that the Staff is considering recommending that the Commission institute administrative and cease-and-desist proceedings against MIS in connection with MIS's initial June 2007 application on SEC Form NRSRO to register as a nationally recognized statistical rating organization under the Credit Rating Agency Reform Act of 2006

Treasury releases completed transactions report showing more CPP transactions

  • Alston & Bird LLP
  • -
  • USA
  • -
  • March 11 2009

Yesterday, Treasury released a completed transactions report showing its most recent round of completed funding under the Troubled Asset Relief Program

Geithner: "the financial system is starting to heal"

  • Alston & Bird LLP
  • -
  • USA
  • -
  • May 13 2009

In a speech this morning before the Independent Community Bankers of America (ICBA), while acknowledging that "the process of financial recovery and repair is going to take time," Treasury Secretary Geithner cited several key metrics that indicated that "the financial system is starting to heal"

SEC will not appeal proxy access decision; Rule 14a-8 amendments on private ordering to become effective

  • Alston & Bird LLP
  • -
  • USA
  • -
  • September 8 2011

Late Tuesday, September 6, 2011, the Securities and Exchange Commission (SEC) Chairman Mary L. Shapiro issued a statement that the SEC would not seek a rehearing of the decision by the United States Court of Appeals for the District of Columbia Circuit vacating the SEC’s recently adopted Rule 14a-11 and related amendments and would not seek Supreme Court review