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Financial services update Vol. 10, Issue 9

  • Winston & Strawn LLP
  • -
  • European Union, USA
  • -
  • March 9 2015

I recently had the opportunity to invest in individual shortterm real estate loans. Having devoted my current liquidity to a real estate

Financial services update February 9 2015 feature: shadow banking

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • February 9 2015

Ten days ago, while discussing a macroprudential approach to regulation, Federal Reserve Board Governor Daniel K. Tarullo suggested the Board

Unintended consequences

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • October 29 2012

On October 26th, Asset-Backed Alert discussed one of the unintended consequences of the Dodd-Frank Act's delegation of authority over derivatives to the CFTC: how the Federal Housing Finance Agency can avoid registration as a commodity pool operator as a result of its use of synthetic derivatives in its securitization of mortgages

Financial services update February 3 2015 banking agency developments

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • February 3 2015

On January 30th, the Federal Deposit Insurance Corporation ("FDIC") requested comment on a proposed rule that would amend the definition of

Financial services update March 31 2014 federal rules effective dates

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • March 31 2014

Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

Financial services update December 15 2014 industry news

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • December 15 2014

On December 12th, Reuters discussed whether significant changes to the Dodd-Frank Act were likely in 2015. Expectations. Securitization Framework On

Federal Reserve Board issues final rule on TALF credit rater eligibility

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • December 14 2009

On December 4th, the Federal Reserve Board announced the adoption of a final rule that would establish a process by which the Federal Reserve Bank of New York may determine the eligibility of credit rating agencies for the Term Asset-Backed Securities Loan Facility

FINRA reminds firms of sales practice obligations relating to principal-protected notes

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • January 4 2010

On December 17th, the Financial Industry Regulatory Authority reminded firms to ensure that promotional materials and public communications regarding principal protected notes are fair, balanced, and do not overstate the level of protection offered or an investment's potential returns, and that firms have a duty to ensure that their registered representatives understand the risks, terms and costs associated with these products, and that they perform an adequate suitability analysis before recommending them to a customer

FINRA proposes inclusion of ABS in TRACE

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • October 5 2009

On October 1st, the Financial Industry Regulatory Authority proposed the expansion of its Trade Reporting and Compliance Engine to include all asset-backed securities, including mortgage-backed securities and collateralized debt obligations

TALF and non-mortgage ABS: formal risk assessment and expansion of credit rating agency eligibility

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • October 9 2009

On October 5, 2009, the Federal Reserve Board (the "Board") announced changes to the Term Asset-Backed Securities Loan Facility ("TALF"), which is maintained by the Federal Reserve Bank of New York ("FRBNY") as authorized on November 24, 2008, and is intended to aid market participants in meeting the credit needs of investors in highly rated asset-backed securities ("ABS"