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Results: 1-10 of 533

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


International Regulatory Update 14 - 18 March 2016
  • Clifford Chance LLP
  • European Union, Singapore, United Kingdom, USA, France, Germany, Global, Hong Kong, Italy, Poland
  • March 22 2016

The EU Commission has adopted a Commission Delegated Regulation on classes of arrangements to be protected in a partial property transfer under


Another Brick in the Wall: The Fed Reproposes Single-Counterparty Credit Limits for Large Banking Organizations
  • Morrison & Foerster LLP
  • USA
  • March 9 2016

On March 4, 2016, the Board of Governors of the Federal Reserve System (the “Fed”) issued a Notice of Proposed Rulemaking (“NPRM”), inviting comment


FINRA Addresses Inaccurate Levels of a Proprietary Index
  • Morrison & Foerster LLP
  • USA
  • January 15 2016

In November 2015, FINRA fined a member firm after the member firm published inaccurate levels for a proprietary index. In this case, FINRA


SEC Issues Research Note Relating to August 2015 Equity Market Volatility
  • Morrison & Foerster LLP
  • USA
  • January 15 2016

In December 2015, the Office of Analytics and Research of the SEC’s Division of Trading and Markets issued a research note discussing the extreme


U.S. Regulatory Developments: What to Expect in 2016
  • Morrison & Foerster LLP
  • USA
  • December 14 2015

As we make our annual prognostications, there is less visibility than in years past regarding many regulatory and enforcement matters. The majority


SEC proposes to amend rules governing its administrative proceedings
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • October 5 2015

On September 24, the U.S. Securities and Exchange Commission (the "SEC") proposed to amend rules governing its administrative proceedings. Key


SEC seeks public comment on Regulation S-X
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • October 5 2015

On September 25, the U.S. Securities and Exchange Commission (the "SEC") announced that it is seeking public comment on the effectiveness of


Financial services update vol. 10, issue 29
  • Winston & Strawn LLP
  • European Union, USA
  • August 24 2015

The United States Treasury Department’s Financial Crimes Enforcement Network (FinCEN) is once again pushing for regulations that would require