In the immediate aftermath of the crisis, it’s possible that those who identified securitisation as a financing model, rather than loan origination practices, as a principal cause of the crisis were all too ready to charge...more
5/31/2013 - CFPB Derivatives Dodd-Frank FDIC Financing Great Recession SEC Volcker Rule
In This Issue: House Ways & Means Committee Proposal Would Require Mark-to-Market for Derivatives and Modify Certain Other Tax Rules; After Months of Anticipation, Final FATCA Regulations Released; Congress Considers...more
4/30/2013 - Affiliates Credit Default Swaps Derivatives Equity Claims FATCA Financial Transaction Tax Forms Mark-To-Market Reorganizations
In This Issue: FINRA Issues Guidance on Backtested Performance Data; FINRA’s Ketchum Discusses Structured Products; and Update Regarding TRACE and Rule 144A Securities. Excerpt from FINRA Issues Guidance on...more
4/30/2013 - Exchange-Traded Products FINRA Structured Financial Products
In This Issue: FINRA’s 2013 Communication Rules and Revisions to MSDAs; Regulation R and Bank Sales of Structured Products; FCA Temporary Product; and Intervention Rules: Nipping It in the Bud. Excerpt from...more
4/15/2013 - Broker-Dealer Distribution Rules Financial Conduct Authority FINRA FSMA Gramm-Leach-Blilely Act Product Intervention Rules Public Communications Regulation R Structured Financial Products
In This Issue: Additional SEC Guidance on Estimated Value Disclosures; 2013 OCIE Examination Priorities Have Implications for Structured Products Issuers and Dealers; EITF and the Federal Funds Rate; and FDIC Proposes to...more
3/1/2013 - Dually Payable Deposits EITF Estimated Value Disclosures OCIE Prioritized Examination SEC Structured Financial Products
In This Issue: Reverse Inquiry Transactions in the Spotlight; How Will the Fed’s Proposed Foreign Bank Rules Affect Foreign Bank Debt Financing Activities in the U.S.?; IOSCO Commences Consultation on Benchmarks; and...more
2/7/2013 - Benchmarks Debt Foreign Banks IOSCO Regulation T Reverse Inquiry Transactions Settlement
2/7/2013 - Benchmarks FINRA Foreign Banks Investors IOSCO Regulation T Reverse Inquiry Transactions SEC Structured Financial Products
In This Issue: Fiscal Cliff Diving a.k.a. American Taxpayer Relief Act; CoCo Developments; Tax Effect of Money Market Fund Proposals; IRS Issues Final Regulations on Publicly Traded Property; Assessment of Income from...more
1/28/2013 - American Taxpayer Relief Act FATCA Fiscal Cliff Income Taxes Intergovernmental Agreements IRS Medicare Taxes Money Market Funds Securities
In This Issue: Additional SEC Guidance on Estimated Value Disclosures; FINRA to Continue Its Focus on Structured Products; FINRA’s Ketchum Discusses Structured Products; FINRA Issues Q&A Guidance on New Communications...more
1/17/2013 - Estimated Value Disclosures ETFs ETNs Executive Compensation FINRA Prospectus SEC
In This Issue: Dividend Adjustments on the Way; Federal Court Decision Supports Use of “Big-Boy Letters”; FINRA Updates Its Suitability Questions and Answers; FINRA Rule 5123 Excludes Some, But Not All, Options;...more
12/19/2012 - Big-Boy Letters Commodity Pool Dividends ETFs FINRA Fiscal Cliff GFMA
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