On January 10, 2013, the Financial Industry Regulatory Authority (“FINRA”) announced that it is inviting prospective crowdfunding funding portals to voluntarily submit information to ...
FINRA’s new rules governing members’ communications with customers and the public will become effective on February 4, 2013.1 The revised communication rules represent a significant o...
The OCC has published long-awaited guidance notifying federally-chartered insured depository institutions (“IDIs”) that it is prepared to grant applications to delay compliance with t...
2013 is shaping up to be another significant year for U.S. regulatory reform. In a piece that appeared in the Financial Times’ FT Trading Room on January 3, 2013, Annette Nazareth and G...
On December 21, 2012, the SEC unanimously adopted rules required by the Dodd-Frank Act that require broker-dealers and certain other market participants to search for holders of securitie...
In this Report:
As of January 2, 2013, a total of 237 Dodd-Frank rulemaking requirement deadlines have passed. Of these 237 passed deadlines, 142 (59.9%) have been missed and 95 (40.1%...
On December 21, 2012, the CFTC issued a final exemptive order relating to the application of certain swap-related provisions of the U.S. Commodity Exchange Act to swap activities outside ...
As of December 3, 2012, a total of 237 Dodd-Frank rulemaking requirement deadlines have passed. Of these 237 passed deadlines, 144 (61%) have been missed and 93 (39%) have been met with f...
On November 16, 2012, the Secretary of the Treasury issued a much awaited determination that foreign exchange (“FX”) swaps and forwards should not be regulated as swaps under the Comm...
There are a number of Dodd-Frank Act derivatives reform provisions that could affect Latin American financial institutions, even those whose swap market activities take place completely o...
