Mortgages, Financial Industry Regulatory Authority (FINRA)

Troutman Pepper Weekly Consumer Financial Services Newsletter - July 2024 # 4

Troutman Pepper on 7/26/2024

To keep you informed of recent activities, below are several of the most significant federal and state events that have influenced the Consumer Financial Services industry over the past week...more

Banking and Consumer Regulatory Digest - April 2024

Davis Wright Tremaine LLP on 5/1/2024

Editor's Note The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency, specifically...more

FINRA delays implementation of amendments to FINRA Rule 4210 to October 26, 2021

Eversheds Sutherland (US) LLP on 1/12/2021

The Financial Industry Regulatory Authority, Inc. (FINRA) filed a proposed rule change with the Securities and Exchange Commission (SEC) on December 22, 2020, to once more delay the implementation of amendments to FINRA Rule...more

FAQs about Real Estate Investment Trusts

Morrison & Foerster LLP on 7/22/2019

What is a REIT? - A REIT refers to a “real estate investment trust,” which is an entity entitled to beneficial federal income tax treatment if it satisfies various requirements relating to its organization, its ownership,...more

FINRA further delays implementation of amendments to FINRA Rule 4210

Eversheds Sutherland (US) LLP on 2/1/2019

The Financial Industry Regulatory Authority, Inc. (FINRA) filed a proposed rule change with the Securities and Exchange Commission (SEC) on January 29, 2019, to once more delay, until March 25, 2020, the implementation of...more

FINRA delays implementation of Rule 4210

Eversheds Sutherland (US) LLP on 4/23/2018

Earlier today, the Financial Industry Regulatory Authority, Inc. (FINRA) filed a proposal with the Securities and Exchange Commission (SEC) to further delay the implementation of amendments to its Rule 4210 that were adopted...more

Your Daily Dose of Financial News

Robins Kaplan LLP on 2/15/2018

Nordstrom’s doing what it can to fight the seemingly inevitable decline of many retailers in the face of online competition. The family-run company has been revamping stores, amassing e-commerce companies, and launching new...more

Financial Services Weekly News - October 2017

Goodwin on 10/19/2017

Editor's Note - Swimming Against the Tide. As discussed below, the Trump administration’s plans for financial regulatory reform are beginning to take shape, especially in agencies, such as the Securities and Exchange...more

Financial Services Weekly News - April 2017 #4

Goodwin on 4/28/2017

Editor's Note - State Regulators Sue OCC Over Federal FinTech Charter. On April 26, the Conference of State Bank Supervisors (CSBS) sued the Office of the Comptroller of the Currency (OCC) in the U.S. District Court for...more

Financial Services Weekly News - January 2017 #3

Goodwin on 1/26/2017

Editor's Note - Opposition Emerges to OCC FinTech Charter. In advance of the deadline to submit comments to the Office of the Comptroller of the Currency’s (OCC) paper proposing a federal FinTech charter, the Conference...more

Financial Services Weekly News - January 2017 #2

Goodwin on 1/19/2017

Editor's Note - In This Issue.The SEC and FINRA released their examination priorities for 2017; the SEC’s Division of Investment Management issued an interpretative letter that would permit brokers to charge their own...more

Financial Services Weekly News - August 2016 #3

Goodwin on 8/19/2016

Editor's Note - MetLife Fights On. MetLife continued to fight its designation as a nonbank systemically important financial institution (SIFI) this week as the insurer filed its reply brief in the Financial Stability...more

Financial Services Weekly News - July 2016 #4

Goodwin on 7/28/2016

Editor's Note - What Exactly Is Bitcoin? In a case featuring a sting operation beginning with meetings in a coffee shop, ice cream store and hotel lobby and ending with the sale of bitcoins to an undercover Miami Beach...more

Financial Services Weekly News - July 2016

Goodwin on 7/7/2016

Regulatory Developments - NY DFS Adopts Final Anti-Terrorism Program Regulation - On June 30, New York’s Department of Financial Services (DFS) adopted a risk-based anti-terrorism and anti-money laundering...more

Financial Services Weekly News - October 2015 #3

Goodwin on 10/22/2015

Regulatory Developments: FINRA Requests Comment on Rules Relating to Financial Exploitation of Vulnerable Adults - On Oct. 15 FINRA published Regulatory Notice 15-37, requesting comment on proposed amendments to...more

Financial Services Weekly News - October 2015 #2

Goodwin on 10/15/2015

Regulatory Developments: FINRA Proposes Rules for Funding Portals - On Oct. 9 FINRA filed with the SEC a proposed rule change to adopt Funding Portal Rules 100 (general standards), 110 (funding portal application),...more

CFPB Singles Out Class Action Waivers for Elimination from Consumer Financial Arbitration Agreements

Moore & Van Allen PLLC on 10/12/2015

The Consumer Financial Protection Bureau (“CFPB”) made clear this week that, in its view, class action waivers should be on the chopping block in the agency’s upcoming rulemaking aimed at regulating the use of arbitration...more

NYC Commission Issues Guidance on the Citywide Bill Restricting Employers from Using Credit Information in Employment Decisions

Littler on 9/22/2015

As previously reported, on May 6, 2015, New York City Mayor Bill de Blasio signed the "Stop Credit Discrimination in Employment Act" (Act), which makes it unlawful for most employers to use an applicant's or employee's credit...more

Corporate and Financial Weekly Digest - Volume X, Issue 3

Katten Muchin Rosenman LLP on 1/26/2015

In this issue: - SEC Chair Directs Staff to Review Commission Rule Excluding Conflicting Proxy Proposals - SEC Comments on FINRA's Proposed Rule Amendment to Increase Pricing Disclosure - CFTC Grants...more

Mortgages › Financial Industry Regulatory Authority (FINRA)

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