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Results: 11-20 of 1,438

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


Antitrust and competition - the EU weekly briefing (2 May 2016)
  • Winston & Strawn LLP
  • European Union, United Kingdom
  • May 2 2016

Commission consults on commitments by ISDA and Markit on credit default swaps. On 28 April 2016, the European Commission (Commission) announced that


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


Financial Services Update, Vol. 11, no. 15
  • Winston & Strawn LLP
  • Global, USA
  • April 18 2016

Effective as of April 15, 2016, the Hizballah Financial Sanctions Regulations, 31 C.F.R. part 566 (the "Sanctions") were implemented by the United


Financial Services Update, Vol. 11, no. 14
  • Winston & Strawn LLP
  • OECD, USA
  • April 11 2016

On April 7th, the Securities and Exchange Commission ("SEC") approvedthe Financial Industry Regulatory Authority's ("FINRA") proposed amendment to


FINRA Regulatory Matters at a Glance: What Compliance Officers Need to Know
  • Winston & Strawn LLP
  • USA
  • April 7 2016

Shortening the Settlement Cycle for Securities to T2: FINRA Requests Comment on Proposed Amendments to FINRA Rules to Support the Industry


Financial Services Update, Vol. 11, no. 13
  • Winston & Strawn LLP
  • USA
  • April 4 2016

According to the Institute for Women’s Policy Research in Washington, D.C., the U.S. gender wage gap is closing so slowly that pay equality won’t be


Financial Services Update, Vol. 11, Issue 12
  • Winston & Strawn LLP
  • USA
  • March 28 2016

Last week was a very busy week for bank regulatory developments. It began with the release of the Federal Reserve System's audited financial


Financial Services Update, Vol. 11, Issue 11
  • Winston & Strawn LLP
  • USA
  • March 23 2016

In a March 15th press release, the Securities and Exchange Commission ("SEC") announced the first-of-its-kind case under a provision of the Dodd-Frank