We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 841

Financial Services Report - Winter 2017
  • Morrison & Foerster LLP
  • USA
  • December 11 2017

The holidays came early for the financial services industry. First, the Senate voted to repeal the CFPB's rule banning class waivers in arbitration


Market Compliance Corner
  • Baker McKenzie
  • USA
  • November 24 2017

The SEC settled an enforcement action against an outsourced CCO who failed to file timely and accurate reports with the Commission. The action can be


SEC Provides Greater Deference to Public Company Boards
  • Manatt Phelps & Phillips LLP
  • USA
  • November 16 2017

On Nov. 1, 2017, the Securities and Exchange Commission (SEC) issued Staff Legal Bulletin No. 14I(CF), which articulates important interpretive


SEC Staff Publishes New Guidance on Shareholder Proposals
  • Katten Muchin Rosenman LLP
  • USA
  • November 10 2017

On November 1, the Division of Corporation Finance of the Securities and Exchange Commission (Division) published Staff Legal Bulletin No. 14I (SLB


SEC Issues MiFID II No-Action Relief and Allays Various Cross-Border Concerns
  • Drinker Biddle & Reath LLP
  • USA
  • November 6 2017

On January 3, 2018, the European Union (EU) Markets in Financial Instruments Directive (MiFID II) will require, for impacted EU parties, that research


SEC Staff Gives Company Boards Central Role in 14a-8 ‘Ordinary Business’ and ‘Economic Relevance’ Exclusions
  • Shearman & Sterling LLP
  • USA
  • November 6 2017

On November 1, 2017, the staff (the “Staff”) of the Division of Corporation Finance of the Securities and Exchange Commission (SEC) issued Staff Legal


Cross-Border Implementation of MiFID II Research Provisions SEC No-Action Relief to Investment Advisers and Broker-Dealers and European Commission Guidance
  • Schulte Roth & Zabel LLP
  • USA
  • October 26 2017

On Oct. 26, 2017, the U.S. Securities and Exchange Commission (“SEC”) published three temporary no-action letters providing U.S. broker-dealers and


CFPB’s First No-Action Letter: FinTech Lenders and Banks Take Note
  • Vedder Price PC
  • USA
  • October 4 2017

On September 14, 2017, the Consumer Financial Protection Bureau (the “CFPB”) issued its first no-action letter (the “No-Action Letter”) concerning the


SEC Extends No-Action Relief Under The Loan Rule
  • Drinker Biddle & Reath LLP
  • USA
  • September 28 2017

The staff of the Securities and Exchange Commission (SEC) Division of Investment Management provided temporary relief to the fund industry in


A First Time for EverythingCFPB Issues Its First No-Action Letter
  • Morrison & Foerster LLP
  • USA
  • September 20 2017

The Consumer Financial Protection Bureau (the "CFPB" or the "Bureau") recently announced the issuance of its first no-action letter ("NAL") to Upstart