Refine your search

Tags
Author
Territory
Jurisdiction

76 results found

Article
Ask Lexy

Bingham McCutchen LLP | USA | 10 Nov 2014

SEC’s Division of Investment Management issues Guidance Update on consolidated financial statements of investment companies

On October 31, 2014, the SEC's Division of Investment Management issued a Guidance Update concerning the consolidation of financial statements filed…
Article
Ask Lexy

Bingham McCutchen LLP | USA | 6 Nov 2014

State Attorneys General results — 2014

Republicans have picked up at least three seats held by Democratic Attorneys General — in Arkansas, Nevada, andTennessee — and now hold a 27-24…
Article
Ask Lexy

Bingham McCutchen LLP | USA | 3 Nov 2014

A guide to the credit risk retention rules for securitizations

On October 21 and 22, 2014, pursuant to the requirements of the Dodd-Frank Act, the SEC and various federal banking and housing agencies adopted…
Article
Ask Lexy

Bingham McCutchen LLP | Japan | 24 Oct 2014

Recent questionnaire from the Kanto Local Finance Bureau

We understand that on or around October 22, 2014, all financial instruments business operators registered with the Kanto Local Finance Bureau of…
Article
Ask Lexy

Bingham McCutchen LLP | USA | 23 Oct 2014

SEC announces intention to deny proposals for Non-Transparent ETFs

In a highly unusual regulatory action, the Securities and Exchange Commission ("SEC") has stated in two formal notices that it intends to deny…
Article
Ask Lexy

Bingham McCutchen LLP | USA | 17 Oct 2014

Microcap securities: OCIE issues risk alert related to broker-dealer controls regarding customer sales

On October 9, 2014, the Securities and Exchange Commission's ("Commission") Office of Compliance Inspections and Examinations ("OCIE") issued a Risk…
Article
Ask Lexy

Bingham McCutchen LLP | USA | 15 Oct 2014

Seventh Circuit expands apportionment defense, potentially limiting joint and several CERCLA liability

The Seventh Circuit issued two significant decisions relating to the cleanup of the Lower Fox River and Green Bay Superfund Site (the "Site") on…
Article
Ask Lexy

Bingham McCutchen LLP | USA | 13 Oct 2014

FINRA solicits comment on proposed rule to implement CARDS

FINRA is seeking comments on a proposed rule to implement the Comprehensive Automated Risk Data System ("CARDS").FINRA published a CARDS concept…
Article
Ask Lexy

Bingham McCutchen LLP | China | 30 Sep 2014

Margin trading and short selling on Shanghai Stock Exchange by foreign investors

Following the establishment of the "Shanghai-Hong Kong Stock Connect Program" ("Program") this past June1, the Shanghai Stock Exchange ("SSE") issued…
Article
Ask Lexy

Bingham McCutchen LLP | USA | 26 Sep 2014

FINRA requests comments on revised proposal to adopt rule mandating quarterly delivery of customer account statements

On September 16, 2014, the Financial Industry Regulatory Authority, Inc. ("FINRA") requested comments on a revised proposal to adopt a consolidated…
Previous page 1 2 3 ...