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Results: 11-20 of 1,938

Financial Services Update, vol. 11, no. 21
  • Winston & Strawn LLP
  • USA
  • June 6 2016

Last week, the SEC sent a message to the private equity industry regarding unregistered broker-dealer activity. The SEC charged an SEC-registered


FINRA Regulatory Matters at a Glance: What Compliance Officers Need to Know - May 2016
  • Winston & Strawn LLP
  • USA
  • June 1 2016

Order Audit Trail System (OATS): SEC Approves OATS Amendments to Require Identification of Non-FINRA Member Broker-DealersOrder Audit Trail System


Financial Services Update, vol. 11, no. 20
  • Winston & Strawn LLP
  • USA
  • May 23 2016

Last Friday, in a speech to the National Association of Insurance Commissioners, Daniel Tarullo, one of the Governors of the Federal Reserve Board of


Financial Services Update, vol.11, no.19
  • Winston & Strawn LLP
  • USA
  • May 16 2016

Pursuant to the Dodd-Frank Act, the Consumer Financial Protection Bureau (“CFPB”) is required to study companies’ use of arbitration agreements


Financial Services Update, Vol. 11, no. 18
  • Winston & Strawn LLP
  • Global, USA
  • May 9 2016

At the end of 2015, President Obama signed into law the Fixing America’s Surface Transportation (FAST) Act (the “FAST Act”). This law amended a


Student Loans: Continued Focus of Federal Agencies
  • Winston & Strawn LLP
  • USA
  • May 5 2016

Student loans represent one of the largest sources of debt in the US, with 43 million Americans having outstanding balances worth a combined $1.3


FINRA Regulatory Matters at a Glance: What Compliance Officers Need to Know - April 2016
  • Winston & Strawn LLP
  • USA
  • May 3 2016

Trade Reporting and Compliance Engine (TRACE): Exemption from Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems


Financial Services Update, Vol. 11, no. 17
  • Winston & Strawn LLP
  • USA
  • May 2 2016

Momentum has been building recently for the SEC to comprehensively revise the decades-old “accredited investor” standard for natural persons under


Are You a Significant Risk-Taker?
  • Winston & Strawn LLP
  • USA
  • April 26 2016

Sounds racy doesn’t it, like something you might say at a cocktail party to impress people (unsuccessfully)? Unfortunately for those affected, being


Financial Services Update, Vol. 11, no. 16
  • Winston & Strawn LLP
  • European Union, United Kingdom, USA
  • April 25 2016

In response to an EU Commission request, the European Securities and Markets Authority (“ESMA”) issued on April 11 its key principles for a European