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Results: 1-10 of 19

The financial report September 4, 2014 - US exchanges and self-regulatory organizations

  • DLA Piper LLP
  • -
  • USA
  • -
  • September 4 2014

Reuters summarized a proposal under consideration by US options exchanges that would address erroneous trading errors. (8292014) Erroneous options

FINRA issues priorities for 2014

  • Sidley Austin LLP
  • -
  • USA
  • -
  • January 10 2014

On January 2, 2014, FINRA released its 2014 Regulatory and Exam Priorities Letter ("Letter"). This Letter, issued annually, highlights significant

Financial industry developments

  • Orrick Herrington & Sutcliffe LLP
  • -
  • USA
  • -
  • May 6 2013

On April 30, the FHFA issued its progress report on the steps being taken to establish a common securitization infrastructure for MBS. The FHFA is

International regulatory update 21 December 2012-4 January 2013

  • Clifford Chance LLP
  • -
  • China, European Union, Germany, Hong Kong, Malaysia, Singapore, Spain, United Kingdom, USA
  • -
  • January 7 2013

Ireland commences EU Council Presidency PRIPS: ECON Committee reports on proposed Regulation on key information documents EMIR: Implementing

Dodd-Frank implementation: navigating the road ahead

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 20 2012

Almost two-and-a-half years after the enactment of the Dodd-Frank Act, the various federal agencies charged with implementation have made measurable

The Division of Swap Dealer and Intermediary Oversight publishes no-action letters

  • White & Case LLP
  • -
  • USA
  • -
  • October 20 2012

On October 11, the Division of Swap Dealer and Intermediary Oversight published two interpretative letters in relation to the regulation of commodity pool operators

Rating agency developments

  • Orrick Herrington & Sutcliffe LLP
  • -
  • United Kingdom, USA
  • -
  • August 13 2012

On August 9, Fitch updated its UK mortgage loan assumptions

SEC issues concept releases on investment company derivative use, mortgage securities and Rule 3a-7

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 9 2011

On August 31, the Securities and Exchange Commission issued three concept releases regarding: (i) the use of derivatives by investment companies (Derivatives Release), (ii) companies engaged in the business of acquiring mortgages and mortgage-related instruments (Mortgage Securities Release), and (iii) the treatment of asset-backed issuers under Rule 3a-7 (Rule 3a-7 Release

Commission suggests tighter restrictions on REITs and ABS

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • September 1 2011

At the August 31, 2011 open meeting, the Securities and Exchange Commission (the “Commission”) unanimously approved a long-awaited Concept Release concerning investment company use of derivatives

European financial stability measures: recent developments and U.S. exposure

  • Venable LLP
  • -
  • European Union, USA
  • -
  • August 9 2011

As recently as July 2011, a number of financial measures have been implemented by institutions and member states of the European Union (the “EU”) to address the current sovereign debt crisis and ensure financial stability in the EU