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Funds Talk: June 2017
  • Kramer Levin Naftalis & Frankel LLP
  • USA
  • June 1 2017

FINRA has introduced an expansion of Rule 4210 (the Rule), effective Dec. 15, 2017, importing margin concepts into the world of mortgage-backed


Funds Talk: May 2017
  • Kramer Levin Naftalis & Frankel LLP
  • USA
  • May 1 2017

While the Securities and Exchange Commission (SEC) has garnered significant attention for its increased efforts and focus on regulating and enforcing


DOL Proposes 60-Day Delay of ‘Fiduciary Rule’ Applicability Date to June 9, 2017
  • Shearman & Sterling LLP
  • USA
  • March 3 2017

On March 1, 2017, the Department of Labor issued a proposed rule that, when finalized, will delay the applicability date of its “fiduciary rule” and


U.S. Regulatory Agenda: What to Expect in 2017 (for Structured Products)
  • Morrison & Foerster LLP
  • USA
  • December 27 2016

At the end of each of the last several years, we have shared with readers our list of anticipated areas of focus for the coming year. This particular


OCC Proposes Special Fintech Bank Charter
  • Arnold & Porter Kaye Scholer LLP
  • USA
  • December 9 2016

Responding to numerous requests, the Office of the Comptroller of the Currency (OCC) issued a release (the Release) on December 2, 2016 explaining how


Funds and leverage - Investment Management Roundtable Series
  • Pepper Hamilton LLP
  • USA
  • October 31 2016

Pepper partner Gregory J. Nowak hosts a monthly Investment Management Roundtable for West LegalEdCenter. This session’s topic was funds and leverage


FINRA Issues Notice Reminding Member Firms of “Time of Execution” Reporting
  • Katten Muchin Rosenman LLP
  • USA
  • August 12 2016

On August 10, the Financial Industry Regulatory Authority issued Regulatory Notice 16-30, which reminds member firms of their obligations to


International Regulatory Update 03 - 06 May 2016
  • Clifford Chance LLP
  • European Union, Hong Kong, Italy, Luxembourg, Netherlands, Saudi Arabia, Singapore, Spain, United Kingdom, USA
  • May 10 2016

The European Securities and Markets Authority (ESMA) has published two opinions proposing amendments to draft Regulatory Technical Standards (RTS) 2


FINRA Proposes Amendment to Transactions in Exchange-Traded Managed Fund Shares Rule
  • Katten Muchin Rosenman LLP
  • USA
  • April 1 2016

On March 29, the Financial Industry Regulatory Authority filed with the Securities and Exchange Commission a proposed amendment to FINRA Rule 6184


Federal Reserve Re-proposes Single-Counterparty Credit Limits for US and Non-US Banking Organizations
  • Mayer Brown LLP
  • USA
  • March 24 2016

On March 5, 2016, the Board of Governors of the US Federal Reserve System (Federal Reserve) re-proposed a rule, originally proposed in 2011, that