In this issue:
- SEC, CFTC and FINRA Issue Joint Advisory on Business Continuity and Disaster Recovery Planning
- FINRA Updates Private Placement Form and Issues FAQ
- SEC Approves Amendments to FINRA Rule Regarding Release of Disciplinary Complaints, Decisions and Other Information
- SEC’s Alleged Failure to Notify SIPC of Ponzi Scheme Does Not Create Liability
- Agencies Seek to Bolster Leverage Ratio Standards for Largest Banks
- Federal Reserve Issues Paper on Capital Planning and Rule for Assessments for Large Banks
- OCC Revises Guidance on Commercial Real Estate Lending
- Excerpt from: Agencies Seek to Bolster Leverage Ratio Standards for Largest Banks
On August 20, the Office of the Comptroller of the Currency (OCC), the Board of Governors of the Federal Reserve System (Board), and the Federal Deposit Insurance Corporation (FDIC) (collectively, the Agencies) announced that they are seeking comment on a notice of proposed rulemaking (NPR) to strengthen the leverage ratio standards for the largest, most systemically significant US banking organizations. The NPR was published in the Federal Register on August 20, 2013, with a 60-day comment period.
Please see full newsletter below for more information.
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Topics: Banks, CFTC, Commercial Real Estate Market, Disaster Aid, Discipline, Federal Reserve, FINRA, Liability, OCC, Ponzi Scheme, Private Placements, SEC, SIPC
Published In: Finance & Banking Updates, Securities Updates
DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.
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