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Finance Articles - Page 19

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Finance Articles - Page 19

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ARTICLES(4,789)

When can Futures Commission Merchants and Broker-Dealers be Deemed Banks?
April 10, 2019
LEGAL ALERTS/ARTICLES
Author: Douglas E. Arend, Jeffry M. Henderson
Law Firm: Greenberg Traurig, LLP

The Emerging Patchwork of Fiduciary Investment Advice Regulation – Putting the Pieces Together
April 02, 2019
LEGAL ALERTS/ARTICLES
Author: Wilson Gray Barmeyer, Adam Benjamin Cohen, Olga Greenberg, Susan Schmidt Krawczyk, Carol Terpstra McClarnon, S. Lawrence Polk, Brian L. Rubin, Sarah Razaq Sallis, Cynthia R. Shoss, Holly H. Smith, W. Mark Smith, Amber S. Unwala, John H. Walsh
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

FCA Receives Thousands of Insider Dealing Tip-Offs From Financial Services Firms; Few Investigations Opened
March 25, 2019
LEGAL ALERTS/ARTICLES
Author: Gareth Hall, Anne-Marie Ottaway, Barry Vitou
Law Firm: Greenberg Traurig, LLP

CFTC and NFA Commodities Regulatory Update
March 11, 2019
LEGAL ALERTS/ARTICLES
Author: Douglas E. Arend, Jeffry M. Henderson
Law Firm: Greenberg Traurig, LLP

Blockchain & Cryptocurrency Newsletter - Winter 2019
March 07, 2019
LEGAL ALERTS/ARTICLES
Author: Preston Barclay, Rebecca G. DiStefano, Carl A. Fornaris, Barbara A. Jones, Michele A. Kulerman, William B. Mack, Marina Olman-Pal, Pallav Raghuvanshi, Maria Sendra, Mary F. Voce
Law Firm: Greenberg Traurig, LLP, Greenberg Traurig, LLP, Greenberg Traurig, LLP, Greenberg Traurig, LLP

Not Every (Open Source) Cloud Has a Silver Lining
March 05, 2019
LEGAL ALERTS/ARTICLES
Author: James G. Gatto
Law Firm: Sheppard Mullin

Proposed Regulation BI Coverage of Retirement Investors
March 05, 2019
LEGAL ALERTS/ARTICLES
Author: Bruce Michael Bettigole, Adam Benjamin Cohen, Olga Greenberg, Issa Jesse Hanna, Michael Bennett Koffler, Susan Schmidt Krawczyk, S. Lawrence Polk, Sarah Razaq Sallis, Cynthia R. Shoss, Holly H. Smith, Mark W. Smith, Amber S. Unwala, John H. Walsh
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

Looking after those Who Look After P
February 28, 2019
LEGAL ALERTS/ARTICLES
Author: Deborah Nicholls-Carr, Stephen Richards
Law Firm: Withers LLP, Withers LLP

The Best Interest Standard under FINRA’s Suitability Rule
February 26, 2019
LEGAL ALERTS/ARTICLES
Author: Wilson Gray Barmeyer, Melissa Lorraine Fox, Amanda R. Giffin, Olga Greenberg, Michael Bennett Koffler, S. Lawrence Polk, Stephen E Roth, Brian Lloyd Rubin, Sarah Razaq Salls, Cynthia R. Shoss, Holly H. Smith, Mark W. Smith, Amber S. Unwala, John H. Walsh
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

2019 Singapore Budget: Asset and Wealth Management Implications
February 19, 2019
LEGAL ALERTS/ARTICLES
Author: Stacy Choong, Nina Carlina Sugianto
Law Firm: Withers Khattarwong

Broker-Dealers Selling Annuities – Preparing for the Best Interest Standard under New York’s Amended Insurance Regulation 187
February 14, 2019
LEGAL ALERTS/ARTICLES
Author: Wilson Gray Barmeyer, Olga Greenberg, Michael Bennett Koffler, S. Lawrence Polk, Stephen E Roth, Brian Lloyd Rubin, Sarah Razaq Sallis, Cynthia R. Shoss, Holly H. Smith, Mark W. Smith, Amber S. Unwala, John H. Walsh
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

FINRA’s 529 Plan Share Class Initiative
February 07, 2019
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Cynthia Reid Beyea, Ronald David Coenen, Michael Bennett Koffler, Brian Lloyd Rubin, Rebekah R. Runyon, Sarah Razaq Sallis, Holly H. Smith, Amber S. Unwala, John H. Walsh
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

Finra Announces 2019 Regulatory Priorities
January 30, 2019
LEGAL ALERTS/ARTICLES
Author: Kate Ross
Law Firm: Sheppard Mullin

FINRA’s 2019 Risk Monitoring and Examination Priorities Letter
January 29, 2019
LEGAL ALERTS/ARTICLES
Law Firm: Greenberg Traurig, LLP

The Effects of the SEC Shutdown on the Capital Markets
January 25, 2019
LEGAL ALERTS/ARTICLES
Author: Richard A. Friedman, Nazia Jabeen Khan
Law Firm: Sheppard Mullin, Sheppard Mullin

2019 SEC Exam Priorities for Securities Industry Registrants
January 24, 2019
LEGAL ALERTS/ARTICLES
Author: Arthur Don
Law Firm: Greenberg Traurig, LLP

Time To Use Rule 473(b) and Remove the Section 8(a) Delaying Amendment from Your Registration Statement
January 10, 2019
LEGAL ALERTS/ARTICLES
Law Firm: Olshan Frome Wolosky LLP

Wills: Ensuring Financial Well-Being of Families
January 10, 2019
LEGAL ALERTS/ARTICLES
Author: Anne-Marie C. Magneron
Law Firm: Perley-Robertson, Hill & McDougall LLP/s.r.l.

SEC Forms New ‘FinHub’ Office for Public Engagement in FinTech
January 09, 2019
LEGAL ALERTS/ARTICLES
Law Firm: Snell & Wilmer L.L.P.

A Primer on Safes and Their Use in Early-Stage Financing
December 27, 2018
LEGAL ALERTS/ARTICLES
Author: Jayne Gest
Law Firm: Babst Calland

Stock Awards in a Divorce: Yours? Mine? It Depends…
December 27, 2018
LEGAL ALERTS/ARTICLES
Law Firm: Cooper Levenson, P.A.

The Other Shoe has Dropped – The SEC Follows Up with Firms that Didn’t Self-Report under the Share Class Initiative
December 14, 2018
LEGAL ALERTS/ARTICLES
Author: Peter J. Anderson, Patricia A Gorham, Olga Greenberg, Clifford Evan Kirsch, Michael Bennett Koffler, Susan Schmidt Krawczyk, S. Lawrence Polk, Amelia Toy Rudolph
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

Prove It or Lose It! Part III: A Step Too Far? Account Freezing Orders & Account Forfeiture Orders
December 05, 2018
LEGAL ALERTS/ARTICLES
Author: Gareth Hall, Anne-Marie Ottaway, Barry Vitou
Law Firm: Greenberg Traurig, LLP

Texas Electric Cooperative to Receive $50 Million Loan
November 23, 2018
LEGAL ALERTS/ARTICLES
Law Firm: Eversheds Sutherland (US) LLP

Prove It or Lose It! - Part I: Unexplained Wealth Orders
November 21, 2018
LEGAL ALERTS/ARTICLES
Author: Gareth Hall, Anne-Marie Ottaway, Barry Vitou
Law Firm: Greenberg Traurig, LLP

Prove It or Lose It! Part II: Civil Recovery Orders
November 21, 2018
LEGAL ALERTS/ARTICLES
Author: Gareth Hall, Anne-Marie Ottaway, Barry Vitou
Law Firm: Greenberg Traurig, LLP

Financial Crimes Enforcement Network Revises Geographic Targeting Orders; Lowering Dollar Threshold and Including Additional Geographic Locations
November 15, 2018
LEGAL ALERTS/ARTICLES
Law Firm: Cummings & Lockwood LLC

Crypto Firms Make Inroads with State and Federal Regulators
November 01, 2018
LEGAL ALERTS/ARTICLES
Author: Christopher J. Bosch, Jeff Kern
Law Firm: Sheppard Mullin, Sheppard Mullin

Establishing Bank or Financial Accounts in the US – Consider the Impact of New FinCEN Rules on Beneficiaries
October 18, 2018
LEGAL ALERTS/ARTICLES
Law Firm: Norris McLaughlin, P.A.

Osfi Finalizes Corporate Governance Guideline
October 09, 2018
LEGAL ALERTS/ARTICLES
Author: P Jeffrey Graham, Stephen J. Redican
Law Firm: Borden Ladner Gervais LLP, Borden Ladner Gervais LLP

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