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Results: 1-10 of 1,102

FinCEN issues proposal to expand beneficial ownership identification requirements

  • Sidley Austin LLP
  • -
  • USA
  • -
  • March 13 2012

On March 5, 2012, the Treasury Department’s Financial Crimes Enforcement Network published in the Federal Register an Advance Notice of Proposed Rulemaking pertaining to the development of a customer due diligence regulation that would be applicable to banks, brokers or dealers in securities, mutual funds and futures commission merchants which focuses on the collection of beneficial ownership information about accountholders

CFTC and SEC jointly propose rules to protect against identity theft

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • March 5 2012

On February 28th, the CFTC and SEC jointly published for comment a proposed rule aimed at protecting investors from identity theft by ensuring that broker-dealers, mutual funds, and other SEC-regulated entities create programs to detect and respond appropriately to red flags

FBI releases its financial fraud report highlighting corporate fraud cases, as well as an increase in securities and commodities fraud cases

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • February 27 2012

On Monday, February 27, 2012, the FBI released its latest Financial Crimes Report to the Public, which provides a snapshot of the issues on which it has focused

New FLEX pilot is immediately effective

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • September 20 2010

On September 13th, the SEC granted immediate effectiveness to NASDAQ OMX PHLX's proposal to replace the 150 contract FLEX minimum value pilot program with a new pilot program that eliminates minimum value sizes for equity-traded FLEX index options and FLEX equity options

Financial services legislative and regulatory update - November 7, 2011

  • Mintz Levin Cohn Ferris Glovsky and Popeo PC
  • -
  • European Union, USA
  • -
  • November 7 2011

Last week, the world‘s attention remained focused on the EU bailout of Greece as world markets continued to whipsaw in response to Greece‘s announcement that they would hold a national referendum on the bailout plan and then that it wouldn‘t

SEC and CFTC issue final red flags rules relating to identity theft

  • Sidley Austin LLP
  • -
  • USA
  • -
  • April 25 2013

The Securities and Exchange Commission ("SEC") and the Commodity Futures Trading Commission ("CFTC" and together with the SEC, the "Commissions"

Financial services legislative and regulatory update - December 5, 2011

  • Mintz Levin Cohn Ferris Glovsky and Popeo PC
  • -
  • European Union, USA
  • -
  • December 5 2011

With Congress trying to resurrect its end of the year business from the smoldering ruins of the supercommittee, the other major story, was in Europe and whether the Eurozone could be saved and financial contagion could be mitigated

SEC and CFTC publish proposed identity theft red flag rules for public comment

  • Jones Day
  • -
  • USA
  • -
  • March 28 2012

On February 28, 2012, the Securities and Exchange Commission ("SEC") and the Commodity Futures Trading Commission ("CFTC") issued proposed rules and guidelines, requiring broker-dealers, mutual funds, and other SEC- and CFTC-regulated entities to create programs to detect and respond appropriately to "red flags" commonly associated with identity theft

Financial Stability Oversight Council to hold first meeting on October 1

  • Alston & Bird LLP
  • -
  • USA
  • -
  • September 24 2010

Today, Treasury Secretary Geithner, who serves as chairperson to the Financial Stability Oversight Council, announced that the Council will hold its first meeting on October 1, 2010

President-elect Obama announces selections for heads of SEC and CFTC

  • Alston & Bird LLP
  • -
  • USA
  • -
  • December 19 2008

Yesterday, stating that "financial regulatory reform will be one of the top legislative priorities of my Administration," President-elect Barack Obama announced his selection of Mary Schapiro as his nominee for Chairman of the SEC, Gary Gensler as Chairman of the CFTC, and Daniel Tarullo for the Federal Reserve Board, all with the stated goal of developing "a 21st century regulatory framework to ensure that a crisis like this can never happen again."