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Search Results (7311) Documents on finance Show: results per page Sort by:  | The Consumer Financial Protection Bureau Completes Its First Six Months — But Questions About Its Future Remain
Stephen A. Fogdall; Schnader Harrison Segal & Lewis LLP;
Legal Alert/Article February 16, 2012, previously published on February 2012 On January 31, 2012, the Consumer Financial Protection Bureau (“CFPB”) released its first Semi-Annual Report, marking the completion of its first six months of existence. The release of the report coincided with the appearance of the CFPB Director, Richard Cordray, before the Senate...
| | Reporting Requirements for Foreign Financial Accounts: FinCEN Releases Notice Extending Deadline to June 30, 2013 for Certain Signature Authority Filers
Sullivan Cromwell LLP;
Legal Alert/Article February 16, 2012, previously published on February 14, 2012 The Financial Crimes Enforcement Network of the Department of the Treasury (“FinCEN”) today released Notice 2012-1 (the “Notice”), extending the deadline for filing a Report of Foreign Bank and Financial Accounts (an “FBAR”) to June 30, 2013 for certain...
|  | State Securities Regulator Temporarily Enjoined From Pursuing Restitution On Behalf Of Citizens Subject To Class Action Settlement
Michael D. Blanchard, Jennifer M. Sepic, Jeffrey M. Tebbs; Bingham McCutchen LLP;
Legal Alert/Article February 16, 2012, previously published on February 15, 2012 The district court for the Northern District of Texas, presiding over a securities class action settlement involving Securities America, Inc. (“SAI”), entered a temporary restraining order on Feb. 13, 2012, enjoining the Montana Commissioner of Securities and Insurance from seeking...
| | Regulatory Watch List for 2012: Issues Anticipated to Impact the Commodity ETF Industry
Sutherland Asbill Brennan LLP;
Legal Alert/Article February 15, 2012, previously published on February 10, 2012 Exchange-traded funds (ETFs) investing in commodities and their advisers, that are registered or required to be registered with the Commodity Futures Trading Commission (CFTC) as commodity pool operators (CPOs) or commodity trading advisors (CTAs), are accustomed to navigating a broad range of...
| | Financial Statements Review Programme Report 2011
Jeckle Chiu; Mayer Brown JSM;
Legal Alert/Article February 15, 2012, previously published on February 15, 2012 On 13 January 2012, The Stock Exchange of Hong Kong Limited ("SEHK") published its "Financial Statements Review Programme Report 2011" ("Report") summarising the key observations and findings from its review of 100 periodic financial reports released by issuers between...
| | IRS and Treasury Release Proposed FATCA Regulations
Gregory Frischmann, Dirk J.J. Suringa, Nicole L. Welch, Edward L. Yingling; Covington & Burling LLP;
Legal Alert/Article February 14, 2012, previously published on February 13, 2012 On February 8, 2012, the U.S. Treasury Department (“Treasury”) and the Internal Revenue Service (the “IRS”) issued lengthy and detailed Proposed Regulations for implementing the Foreign Account Tax Compliance Act (“FATCA”), legislation adopted in 2010 to combat...
| | Exempt Reporting Advisers: Requirements for Investment Advisers that Qualify as Venture Capital Advisers or Private Fund Advisers
Jones Day;
Legal Alert/Article February 14, 2012, previously published on February 2012 The Dodd-Frank Act changed the U.S. Investment Advisers Act of 1940 (the "Advisers Act") in a way that requires many more investment advisers to register with the U.S. Securities and Exchange Commission. The Dodd-Frank Act changes also created a new class of investment advisers that are...
| | Upgrading of the Appraisal Profession
Tiffany Kouri Spinella; Pullman & Comley, LLC;
Legal Alert/Article February 14, 2012, previously published on Winter 2012 Amidst the controversy surrounding the Dodd-Frank financial reform bill, perhaps we have overlooked those provisions which addressed the real estate appraisal profession.
| | Schwab Agreement Might Violate FINRA Rules
Katharine F. Musso; Jones, Walker, Waechter, Poitevent, Carrère & Denègre L.L.P.;
Legal Alert/Article February 13, 2012, previously published on February 9, 2012 FINRA has issued a complaint against the broker Charles Schwab & Company, Inc. (“Schwab”) for allegedly violating numerous FINRA rules by barring customers from pursuing class actions.
| | The Application of MSRB Rule G-17 to Underwriters Providing Bondholder Consent for Municipal Securities
George T. Magnatta, Joshua S. Pasker; Saul Ewing LLP;
Legal Alert/Article February 10, 2012, previously published on February 2012 The Municipal Securities Rulemaking Board is requesting comment on a draft interpretive notice regarding the application of MSRB Rule G-17 to the situation when an underwriter acts as a bondholder and provides consent in a municipal securities transaction.
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