Jeffrey Werthan

Jeffrey Werthan

Katten Muchin Rosenman LLP

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Corporate and Financial Weekly Digest - Volume IX, Issue 47

In this issue: - SEC Sets October 2015 Target Date for Certain Dodd-Frank and JOBS Act Rulemaking - FINRA Issues Notice on TRACE Trade Reporting Obligations - NFA Issues Guidance on Exempt and Excluded...more

12/8/2014 - AIFM Bank Secrecy Act Banks Bitcoins BitLicense C-Suite Executives CPOs CTA Dodd-Frank Enforcement Actions EU EU Data Protection Laws False Statements FFIEC FINRA Investment Funds JOBS Act NFA OCC Proposed Amendments Regulatory Standards Rulemaking Process SEC TRACE Whistleblower Awards

Six Federal Agencies Jointly Approve Final Risk Retention Rule

Six federal agencies approved on October 22 a final rule requiring sponsors of securitization transactions to retain risk in those transactions. The final rule implements the risk retention requirements in the Dodd-Frank Wall...more

11/5/2014 - ABS Asset-Backed Securities Dodd-Frank FDIC Federal Reserve FHFA Final Rules HUD Mortgage-Backed Securities OCC Qualified Mortgage Rule Risk Retention SEC

Federal Banking Regulators Finalize Liquidity Coverage Ratio

On September 3, the Federal Reserve Board, the Federal Deposit Insurance Corporation and the Office of the Comptroller of the Currency finalized a rule to strengthen the liquidity positions of large financial institutions.The...more

9/10/2014 - Banks Basel Committee Dodd-Frank FDIC Federal Reserve Final Rules HQLA Liquidity Coverage Ratio OCC

Agencies Issue Interim Final TruPs CDOs Rule, Effective April 1

On January 14, the Office of the Comptroller of the Currency (OCC), the Board of Governors of the Federal Reserve System (FRB), the Federal Deposit Insurance Corporation (FDIC), the Securities and Exchange Commission and the...more

4/10/2014 - Collateralized Debt Obligations Dodd-Frank FDIC Federal Reserve Trust Preferred Securities Volcker Rule

Federal Reserve Approves Final Rule Regulating Bank Holding Companies and Foreign Banking Organizations

On February 18, the Federal Reserve Board (Federal Reserve) approved a Final Rule to enhance supervision over the largest US bank holding companies (BHCs) and the largest foreign banking organizations (FBOs) with operations...more

2/26/2014 - Bank Holding Company Banks Dodd-Frank Federal Reserve Foreign Banks

Corporate and Financial Weekly Digest - Volume IX, Issue 8

In this issue: - OTC Markets Proposes Amendments to OTCQX Rules and New Rules for US Banks - SEC Approves Changes to FINRA BrokerCheck Disclosure Rule 8312 - SEC to Examine Never-Before Examined...more

2/24/2014 - Bank Holding Company Banking Sector Broker-Dealer Disclosure Requirements Dodd-Frank Federal Reserve Financial Regulatory Reform FINRA Foreign Banks Investment Adviser IRS OTC SEC Tax Preparers Tax Returns

Agencies Retreat on TruPS CDOs

Following the filing of a lawsuit by the American Bankers Association (ABA) and others, on January 14, five federal agencies approved an interim final rule to permit banking entities to retain interests in certain...more

1/23/2014 - American Bankers Association Collateralized Debt Obligations Dodd-Frank Proprietary Trading Trust Preferred Securities Volcker Rule

Lawmakers Introduce Legislation to Resolve CDO-TruPS Controversy

In the latest installment of the Volcker Rule’s collateralized debt obligation-trust preferred securities (CDO-TruPS) controversy, on January 8, two House Financial Service Committee members introduced a bill to exempt...more

1/16/2014 - Banking Sector Collateralized Debt Obligations Community Banks Dodd-Frank Trust Preferred Securities Volcker Rule

Federal Financial Regulators Extend Comment Period for Proposed Policy Statement on Assessing Diversity Policies and Practices of...

On December 19, six federal financial regulatory agencies announced that they are extending the comment period for their proposed policy statement for assessing diversity policies and practices of the institutions they...more

12/26/2013 - Diversity Dodd-Frank

Federal Reserve and CFPB Announce New Thresholds for Exempt Consumer Credit and Lease Transactions

On November 20, the Federal Reserve Board and the Consumer Financial Protection Bureau (CFPB) announced they are increasing the dollar thresholds in Regulation Z (Truth in Lending) and Regulation M (Consumer Leasing) for...more

11/27/2013 - CFPB Dodd-Frank Federal Reserve Regulation M Regulation Z TILA

Agencies Release a Regulatory Capital Estimation Tool for Community Banks

The federal bank regulatory agencies on November 19 released an estimation tool to help community banks understand the potential effects of the recently revised regulatory capital framework on their capital ratios. The...more

11/27/2013 - Basel III Capital Estimation Tool Capital Requirements Community Banks Dodd-Frank

Agencies Seek Comment on Dodd-Frank Act Stress Test Guidance for “Medium-sized” Banking Firms

On July 30, three federal bank regulatory agencies, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation and the Office of the Comptroller of the Currency (Agencies), sought comment...more

8/7/2013 - Banks Dodd-Frank FDIC Federal Reserve OCC Stress Tests

Banking Agencies Issue Final Basel III Capital Regulations

A new regulatory capital framework for US banks has been introduced by the issuance on July 2 of final capital regulations (the Final Regulation) for bank holding companies and state-chartered member banks by the Board of...more

7/18/2013 - Banks Basel Committee Basel III Dodd-Frank FDIC New Regulations OCC

Federal Reserve Equalizes Treatment of Foreign Banks Under Dodd-Frank Push Out Rules

On June 5, 2013, the Federal Reserve Board approved an interim final rule designed to give uninsured US branches and agencies of foreign banks the same treatment as domestic depository institutions under section 716 of the...more

6/12/2013 - Dodd-Frank Federal Reserve Foreign Banks Swap Dealers

CFPB Amends the Ability-to-Repay Rules Regarding Qualified Mortgages

On May 29, the Consumer Financial Protection Bureau (CFPB) finalized rules to facilitate access to credit by creating specific exemptions and modifications to the CFPB’s Ability-to-Repay rule for small creditors, community...more

6/5/2013 - Ability-to-Repay Amended Regulation CFPB Creditors Dodd-Frank Loan Originator Compensation Rule Qualified Mortgage Rule

FDIC Division Director James R. Wigand Testifies on Cross-Border Resolution Plans

On May 15, James R. Wigand, Director, Office of Complex Financial Institutions of the Federal Deposit Insurance Corporation (FDIC) testified before the U.S. Senate Subcommittee on National Security and International Trade and...more

5/22/2013 - Cross-Border Dodd-Frank FDIC

Federal Reserve Division Director Michael S. Gibson Testifies on Cross-Border Resolution Plans

On May 15, Michael S. Gibson, Director, Division of Banking Supervision and Regulation of the Federal Reserve, testified before the Subcommittee on National Security and International Trade and Finance of the U.S. Senate...more

5/22/2013 - Cross-Border Dodd-Frank Federal Reserve Testimony

Federal Reserve Proposes Assessments for BHCs with $50 Billion or Greater in Assets

On April 18 the Federal Reserve Board (Board) proposed an annual assessment of bank holding companies and savings and loan holding companies with $50 billion or greater in total consolidated assets and for nonbank financial...more

4/25/2013 - Asset Valuations Bank Holding Company Dodd-Frank Federal Reserve FSOC

Agencies Provide Additional Instructions for Submission of Resolution Plans and Extend Deadline

On April 15 the Federal Reserve Board (Board) and the Federal Deposit Insurance Corporation (FDIC) announced the release of additional guidance, clarification and direction for the first group of institutions filing their...more

4/24/2013 - Consumer Protection Act Deadlines Dodd-Frank FDIC Federal Reserve

Federal Reserve Board Extends Comment Period to Implement Enhanced Prudential Standards and Early Remediation Requirements Until...

Due to “the range and complexity of the issues addressed in the rulemaking,” the Federal Reserve Board (Board) has extended until April 30, 2013, the comment period on a proposed rule to implement the enhanced prudential...more

2/27/2013 - Dodd-Frank Federal Reserve Foreign Banks Prudential Standards Remediation

Federal Reserve Announces Dates for Release of Stress Test and CCAR Results

The Federal Reserve Board on January 28 announced that results from the supervisory stress tests conducted as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act will be released on Thursday, March 7, and...more

2/8/2013 - Bank Holding Company CCAR Dodd-Frank Federal Reserve Stress Tests

Agencies Issue Final Rule on Appraisals for Higher-Priced Mortgage Loans

On January 18, six federal financial regulatory agencies (the Board of Governors of the Federal Reserve System, the Consumer Financial Protection Bureau, the Federal Deposit Insurance Corporation, the Federal Housing Finance...more

2/1/2013 - CFPB Dodd-Frank FDIC Federal Reserve FHA Higher-Priced Mortgage Loans Mortgages TILA

The End of Unlimited FDIC Insurance: How Banks Can Retain—and Depositors Can Protect—Their Uninsured Deposits

In an attempt to limit the flight of deposits from insured depository institutions resulting from the 2008 fiscal crisis, Section 343 of the Dodd-Frank Wall Street Reform and Consumer Protection Act provided temporary,...more

1/10/2013 - Dodd-Frank FDIC Repo Sweeps Securities Sweep Accounts Uninsured Deposits

Federal Reserve, FDIC and OCC Issue Stress Test Requirements

On November 15, the Federal Reserve Board, the Office of the Comptroller of the Currency and the Federal Deposit Insurance Corporation (the Agencies) released interim guidance that describes how the Agencies will develop and...more

12/6/2012 - Dodd-Frank FDIC Federal Reserve Stress Tests

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