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Firm element advisory update

Winston & Strawn LLP
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USA
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April 15 2013

On April 12th, the Financial Industry Regulatory Authority ("FINRA") announced the release of the Spring 2013 Firm Element Advisory ("FEA"). The FEA

Amendment seeks to slow rulemaking

Winston & Strawn LLP
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USA
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March 25 2013

On March 22nd, DealBook reported that a raft of Congressional amendments appended to existing bills include one aimed at slowing the implementation

SLUSA doesn't preclude variable annuitants' breach of contract claims

Winston & Strawn LLP
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USA
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January 7 2013

On January 2nd, the Ninth Circuit partially reinstated contract claims asserted by purchasers of variable universal life insurance policies

Federal Reserve Board letter on consolidated supervision

Winston & Strawn LLP
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USA
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January 7 2013

On December 17th, the Federal Reserve Board issued a Supervision and Regulation letter summarizing changes made in recent years to its program for

Federal rules effective dates

Winston & Strawn LLP
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USA
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December 17 2012

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

OCC issues bulletin on proposed amendments to retail foreign exchange rule

Winston & Strawn LLP
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USA
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November 5 2012

On October 31st, the OCC issued a Bulletin on its proposed amendments to the retail foreign exchange rule for transactions with collective investment funds and insurance company separate accounts

Financial Stability Board reports on SIFI framework

Winston & Strawn LLP
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USA
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November 5 2012

On November 1st, the Financial Stability Board released three documents concerning the FSB’s policy framework for addressing the systemic and moral hazard risks associated with systemically important financial institutions

CFPB supervisory authority

Winston & Strawn LLP
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USA
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November 5 2012

On October 31st, the Consumer Financial Protection Bureau published three documents related to its supervisory authority:

FinCEN E-Filing reminder

Winston & Strawn LLP
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USA
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September 17 2012

On September 13th, FinCEN advised that the BSA E-Filing system is now functioning properly and it has begun an initiative to contact those institutions that are continuing to file FinCEN reports in paper format

Pragmatism overrides strict interpretations

Winston & Strawn LLP
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USA
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August 20 2012

On August 13th, the Second Circuit vacated and remanded the district court's order denying a motion to certify a settlement class