Regulatory Developments -
CFTC Issues Proposed Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps:
On Aug. 19 the CFTC announced that it had voted to propose amendments to existing...more
8/27/2015
/ Administrative Procedure Act ,
CFTC ,
Comment Period ,
Derivatives Clearing Organizations ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
First Amendment ,
Government Officials ,
Investment Advisers Act of 1940 ,
NASD ,
OCIE ,
Pay-To-Play ,
Political Contributions ,
Proposed Regulation ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
Swap Data Repositories ,
Swaps
FINRA Requests Comment on Current Membership Application Rules.
As part of its ongoing retrospective rule review process, FINRA has published, in Regulatory Notice 15-10, a request for comment on the effectiveness and...more
FDIC Study Shows Branch Banking Has Staying Power: Has your smartphone displaced your bank? According to an FDIC study released on February 19, traditional brick-and-mortar offices are maintaining their primacy, despite...more
2/26/2015
/ Advertising ,
Banks ,
Brokers ,
Compliance ,
Employee Retirement Income Security Act (ERISA) ,
FBAR ,
FDIC ,
Financial Analysts ,
Financial Industry Regulatory Authority (FINRA) ,
FinCEN ,
Mobile Banking ,
NASD ,
OCC ,
Registered Funds ,
Securities and Exchange Commission (SEC)
Editor’s Note:
FINRA Rulemaking: In this issue we report on three recent FINRA rule amendments. The first amends the NASD rule on the use of customer account statements to require that member firms use more accurate...more
1/8/2015
/ Amended Regulation ,
Broker-Dealer ,
CFTC ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Family Offices ,
Financial Industry Regulatory Authority (FINRA) ,
Futures Commission Merchants (FCMs) ,
NASD ,
NYSE ,
REIT ,
Securities ,
Securities and Exchange Commission (SEC)
Editor’s Note:
Spotlight on the FDIC: In a Financial Institutions Letter, FIL-56-2014, the FDIC announced additional guidance on its 1998 Statement of Policy on Applications for Deposit Insurance in a Q&A format on...more
11/26/2014
/ Annual Reports ,
Bankruptcy Code ,
Chapter 15 ,
Citigroup ,
Consumer Financial Protection Bureau (CFPB) ,
Deposit Insurance ,
Enforcement Statistics ,
FDIC ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Foreclosure ,
Guidance Update ,
NASD ,
NYSE ,
Regulation SCI ,
Securities and Exchange Commission (SEC)
Editor’s Note -
Looking Ahead: December 1 Effective Date for FINRA Consolidated Supervision Rules. The new FINRA Supervision rules, approved by the SEC in December 2013, become effective on December 1, 2014. The new...more
10/21/2014
/ Asset-Backed Securities ,
Banks ,
Broker-Dealer ,
DPPs ,
Federal Reserve ,
Financial Industry Regulatory Authority (FINRA) ,
ISDA ,
ISDA Master Agreement ,
NASD ,
REIT ,
Securities and Exchange Commission (SEC)