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House and Senate Financial Services Lawmakers Kick-Off the 115th Congress; Regulators Tackle Debt Collection, Insurance, and FinTech
  • Squire Patton Boggs
  • USA
  • January 17 2017

With the new Congress officially under way, both the Senate Banking and House Financial Services Committees have announced new Committee members


U.S. CFTC Enforcement: Key Compliance Takeaways from 2016
  • Reed Smith LLP
  • USA
  • January 16 2017

In 2016, the U.S. Commodity Futures Trading Commission brought several


CFTC Adopts Amended Position Limit Aggregation Rules - Action by Asset Managers May Be Required
  • Ropes & Gray LLP
  • USA
  • January 13 2017

The U.S. Commodity Futures Trading Commission (the "CFTC") has issued amended aggregation rules for determining compliance with speculative position


The Volcker Rule Under the Trump Administration
  • Stinson Leonard Street LLP
  • USA
  • January 13 2017

The so-called Volcker Rulenamed after Paul Volcker, a former chairman of the Federal Reserve Boardwas part of the Dodd-Frank Wall Street Reform and


Enforcement Trends: The New Administration and Securities Enforcement
  • Ropes & Gray LLP
  • USA
  • January 10 2017

Today's podcast is a part of a series of Capital Insights podcasts we're hosting to examine the issues and potential regulatory and enforcement


Financial Services Update, Vol. 12, Issue 1
  • Winston & Strawn LLP
  • USA
  • January 9 2017

Last week, the Financial Industry Regulatory Authority, Inc. (“FINRA”) released its Annual Regulatory and Examination Priorities Letter (“Priorities


FINRA Sanctions 12 Member Firms for Failure to Maintain Electronic Records in Required Format
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

The Financial Industry Regulatory Authority assessed a total of US $14.4 million in fines against 12 firms for "significant deficiencies" in their


Two Companies Charged by SEC for Whistleblower Infractions
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

Two publicly traded companies agreed to settle Securities and Exchange Commission


Trading and Markets Enforcement Report - January 2017
  • Morgan Lewis & Bockius LLP
  • USA
  • January 4 2017

The last several years have seen law enforcement and regulatory bodies sharpen their focus on trading activity in the securities and derivatives


The Supreme Court May Review Whether Regulatory Enforcement Actions Seeking Disgorgement are Subject to a Five-Year Statute of Limitations
  • Cadwalader Wickersham & Taft LLP
  • USA
  • January 4 2017

Federal regulatory agencies, such as the Securities and Exchange Commission (“SEC”), the Commodity Futures Trading Commission (“CFTC”), and the