We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
Lexology logo






  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 101

FINRA identifies concerns with marketing of real estate investment products

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • May 10 2013

FINRA recently signaled a continuing focus on the marketing of real estate-related products by issuing a Regulatory Notice expressing concerns about

FINRA provides guidance on communications with the public concerning unlisted real estate investment programs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 10 2013

The Financial Industry Regulatory Authority (FINRA) has issued Regulatory Notice 13-18 (Regulatory Notice) to provide guidance to member firms on

Court okay’s FHFA $6.4 billion suit against UBS

  • Kelley Drye & Warren LLP
  • -
  • USA
  • -
  • April 23 2013

We previously reported on the lawsuit the Federal Housing Finance Agency ("FHFA") filed against the Swiss bank, UBS, for securities violations based

What matters: A review of 2011 and 2012

  • Kramer Levin Naftalis & Frankel LLP
  • -
  • USA
  • -
  • April 1 2013

As you know, the last two years have seen a somewhat improved, but by no means robust, business climate. At the same time, structural shifts in the

A leasing transaction under negotiation becomes securities fraud

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • January 14 2013

The Commission filed financial fraud actions against a computer services company, its CFO and the CFO of the operating subsidiary where the fraud

Federal rules effective dates

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • December 17 2012

Joint Final Rule - Commodity Futures Trading Commission; Securities and Exchange Commission

CFTC division issues no-action letter impacting mortgage REITs

  • Jones Day
  • -
  • USA
  • -
  • December 11 2012

On December 7, 2012, the Division of Swap Dealer and Intermediary Oversight (the "Division") of the Commodity Futures Trading Commission ("CFTC") issued CFTC Letter No. 12-44 (the "Letter"

Global accounting firms caught in the crossfire as SEC fails to reach agreement with Chinese regulators on document sharing

  • Simpson Thacher & Bartlett LLP
  • -
  • China, USA
  • -
  • December 10 2012

The China affiliates of the biggest accounting firms in the world have been placed in real jeopardy due to the stalled negotiations between U.S. and Chinese regulators over document sharing

Financial services legislative and regulatory update - November 19, 2012

  • Mintz Levin Cohn Ferris Glovsky and Popeo PC
  • -
  • USA
  • -
  • November 19 2012

Now that the election is behind us the focus in Washington has shifted to the fiscal cliff, with the President and Congressional leaders meeting at the end of the week after both sides publicly floated their opening negotiating positions

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

Current Search

Suggested Facets

Author

Firm Name

Jurisdiction

Workarea

© Copyright 2006-2013 Globe Business Publishing Ltd | Cookies | Disclaimer | Privacy policy