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Results: 1-10 of 2,965

Continued focus on Dodd-Frank, challenge to CFPB moves forward
  • Squire Patton Boggs
  • USA
  • July 27 2015

Last week, the Senate Appropriations Committee passed along party lines in a 16-14 vote a $20.6 billion financial services appropriations package


Financial services update vol. 10, issue 25
  • Winston & Strawn LLP
  • USA
  • July 27 2015

On July 20, the U. S. Department of the Treasury published a formal Notice and Request for Comment on the subject of expanding access to credit


CFTC extends designation of DTCC-SWIFT as provider of legal entity identifiers
  • Katten Muchin Rosenman LLP
  • USA
  • July 24 2015

On July 20, the Commodity Futures Trading Commission issued an order extending the designation of the Depository Trust and Clearing Corporation and


Financial services update vol. 10, issue 24
  • Winston & Strawn LLP
  • United Kingdom, USA
  • July 20 2015

In April of this year, the Department of Labor (“DOL”) proposed a rule which amends the definition of “fiduciary” under the Employee Retirement


SEC can’t retroactively apply Dodd-Frank sanctions says US Court of Appeals
  • Katten Muchin Rosenman LLP
  • USA
  • July 19 2015

The federal court of appeals for the District of Columbia ruled that the Securities and Exchange Commission impermissibly applied sanctions available


US regulators release joint staff report regarding the US Treasury market
  • Shearman & Sterling LLP
  • USA
  • July 16 2015

On July 13, 2015, the US Department of Treasury, the Federal Reserve Board, the Federal Reserve Bank of New York, the US Securities and Exchange


Financial services update vol. 10, issue 23
  • Winston & Strawn LLP
  • USA
  • July 13 2015

On June 29, 2015, the Securities and Exchange Commission (“SEC”) settled an enforcement action against Kohlberg Kravis Roberts & Co., a private


CFTC issues proposed rules on cross-border uncleared swap margin requirements
  • White & Case LLP
  • USA
  • July 13 2015

The CFTC has combined an entity-level approach with a transaction-level approach in its proposed cross-border uncleared swap margin requirements


SEC investigation into illegal use of swaps in trading of private technology shares
  • Herbert Smith Freehills LLP
  • USA
  • July 6 2015

The SEC is understood to have subpoenaed a number of firms in connection with an investigation into the sale of private pre-IPO technology stocks


Lawmakers continue focus on Dodd-Frank, CFTC and SEC propose rules
  • Squire Patton Boggs
  • USA
  • July 6 2015

With Senate Banking Committee Chairman Richard Shelby’s (R-AL) “resting,” this week the House Financial Services Committee will hold a hearing to