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Results: 1-10 of 132

SEC proposes new rules related to hedge funds and bank broker-dealer activities
  • Alston & Bird LLP
  • USA
  • December 15 2006

At an open meeting on December 13th, the Securities and Exchange Commission (the “SEC” or “Commission”) took various actions, including proposing new rules related to hedge fund advisers and bank dealer activities, and reopening the comment period on the Commission’s proposed mutual fund governance rule. The


Financial crisis drives remaining independent investment banks to Federal Reserve regulation
  • Alston & Bird LLP
  • USA
  • September 24 2008

On Sunday, September 21, 2008, the Federal Reserve Board (the “Board”) approved applications of both the Goldman Sachs Group, Inc. (“Goldman”) and Morgan Stanley to become bank holding companies under section 3 of the Bank Holding Company Act (“BHC Act”


SEC adopts the first part of final rules relating to Regulation AB II
  • Alston & Bird LLP
  • USA
  • August 28 2014

On August 27, 2014, at an open meeting, the U.S. Securities and Exchange Commission (SEC) unanimously adopted final rules substantially revising the


Treasury official outlines goals for financial markets regulation
  • Alston & Bird LLP
  • USA
  • August 4 2010

Earlier today, Michael Barr, Treasury's assistant secretary for financial institutions, spoke at the Charlotte, North Carolina Chamber of Commerce regarding the Wall Street Reform and Consumer Protection Act and upcoming regulatory changes


Federal government and SEC charge former chairman of major mortgage lender with multiple counts of fraud and related TARP scheme
  • Alston & Bird LLP
  • USA
  • June 16 2010

Today, members of the Financial Fraud Enforcement Task Force announced a 16-count indictment for Lee Bentley Farkas (Farkas), the former chairman of a private mortgage lending company, Taylor, Bean & Whitaker (TBW), for "his alleged role in a more than $1.9 billion fraud scheme that contributed to the failure of Colonial Bank, one of the 50 largest banks in the United States in 2009, and TBW, one of the largest privately held mortgage lending companies in the United States" in 2009


Senate Permanent Subcommittee on Investigations launches series of hearings on Wall Street and the financial crisis
  • Alston & Bird LLP
  • USA
  • April 14 2010

Yesterday, the U.S. Senate Permanent Subcommittee on Investigations, under Chairman Carl Levin (D-MI), and Ranking Member Tom Coburn (R-OK), launched a series of hearings to examine the roles played by high-risk mortgages, regulators, credit rating agencies and Wall Street investment banks in the financial crisis


House Oversight Committee holds hearing on the role of federal regulators in the financial crisis
  • Alston & Bird LLP
  • USA
  • October 24 2008

Yesterday, the House Committee on Oversight and Government Reform held a hearing on the role of federal regulators in the recent financial crisis


FinCEN proposes enhanced customer due diligence requirements for financial institutions
  • Alston & Bird LLP
  • USA
  • August 8 2014

On July 30, 2014, the Financial Crimes Enforcement Network (FinCEN) issued proposed rules under the Bank Secrecy Act (BSA) to strengthen customer due


Credit risk retention Final Rule with focus on auto issuers
  • Alston & Bird LLP
  • USA
  • October 30 2014

On October 22, 2014, the Board of Governors of the Federal Reserve System, the Department of Housing and Urban Development, the Federal Deposit


House Financial Services Committee holds hearing on the future of financial services regulation
  • Alston & Bird LLP
  • USA
  • October 22 2008

Yesterday, the House Committee on Financial Services held a hearing "to address the need for broad regulatory restructuring and reform for the financial markets, including financial institution oversight and regulation, systemic risk, and housing finance."