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Foreign Bank Account Report Financial Industry Regulatory Authority (FINRA)

Paul Hastings LLP

Daily Financial Regulation Update -- Friday, October 7, 2022

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October 6, 2022- U.S. Secretary of the Treasury Janet L. Yellen announced that Treasury has signed a loan agreement for the Clean Technology Fund—a multilateral trust fund which helps to scale up low carbon technologies in...more

Goodwin

Financial Services Weekly News - December 2015 #3

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Regulatory Developments - SEC Proposes New Derivatives Rules for Registered Investment Companies and Business Development Companies - On Dec. 11, the SEC proposed new Rule 18f-4 under the Investment Company Act,...more

Goodwin

Financial Services Weekly News Roundup - February 2015 #4

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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

Goodwin

FINRA Settles Administrative Proceedings Against Clearing Broker-Dealer For Failures to Comply with Anti-Money Laundering,...

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The Financial Industry Regulatory Authority, Inc. (“FINRA”) issued an order (the “Order”) settling administrative proceedings against a clearing broker-dealer (the “Broker”), regarding various failures to comply with...more

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