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Results: 1-10 of 1,846

Volcker Rule FAQ
  • Baker & McKenzie
  • USA
  • August 18 2014

On behalf of the CFTC, the DSIO recently issued a FAQ addressing certain requirements of the Volcker Rule currently being implemented. The FAQ


Disclosure and collateral consequences of enforcement actions for regulated financial services firms
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • October 2 2014

Financial services firms facing enforcement proceedings at the hands of the U.S. Securities and Exchange Commission (SEC) or any other financial


Court permits customer and IB claims to proceed against U.S. Bank over Peregrine collapse
  • Katten Muchin Rosenman LLP
  • USA
  • September 28 2014

A US federal court in Illinois authorized two lawsuits arising from the collapse of Peregrine Financial Group to proceed against U.S. Bank, N.A


FSB consults on cross-border recognition for resolution action
  • Shearman & Sterling LLP
  • USA
  • October 1 2014

The Financial Stability Board ("FSB") released a consultation, on September 29, 2014, on establishing an effective cross-border recognition framework


Financial services update August 18 2014 federal rules effective dates
  • Winston & Strawn LLP
  • USA
  • August 18 2014

Transferred OTS Regulations and FDIC Regulations Regarding Post-Employment Activities of Senior Examiners. 79 FR 42181


The financial report July 10, 2014 - US exchanges and self-regulatory organizations
  • DLA Piper LLP
  • USA
  • July 10 2014

The National Futures Association announced that its assessment fee will be $0.01 per side for futures and options contracts beginning on October 1


Financial services update February 3 2014 federal rules effective dates
  • Winston & Strawn LLP
  • USA
  • February 3 2014

March 1, 2014 Defining Larger Participants of the Student Loan Servicing Market. 78 FR 73383.. Commodity Futures Trading Commission. April 1


Comptroller of the Currency Thomas J. Curry testifies before a Senate Committee on the OCC's implementation of the Dodd-Frank Act
  • Bricker & Eckler LLP
  • USA
  • February 7 2014

On Thursday, Comptroller of the Currency Thomas J. Curry testified before the U.S. Senate Committee on Banking, Housing and Urban Affairs on the


The Volcker Rule and capital markets offerings
  • Morrison & Foerster LLP
  • USA
  • December 27 2013

Final regulations under the section of the Dodd-Frank Act known as the "Volcker Rule" 1 were enacted in December 2013 (the "Final Rule") by


Regulators approve final Volcker Rule
  • Mintz Levin Cohn Ferris Glovsky and Popeo PC
  • USA
  • December 11 2013

After several years and 18,000 comments, yesterday regulators braved a "snow covered" Washington and voted to approve a final rule to prohibit banks