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Yesterday, the Federal Reserve, FDIC and OCC released proposed regulations implementing the Volcker Rule.The Dodd-Frank Act requires these three agencies and the SEC and the CFTC to consu...
Yesterday, the Federal Reserve, FDIC and OCC released proposed regulations implementing the Volcker Rule.The Dodd-Frank Act requires these three agencies and the SEC and the CFTC to consu...
Yesterday, the Federal Reserve, FDIC and OCC released proposed regulations implementing the Volcker Rule.The Dodd-Frank Act requires these three agencies and the SEC and the CFTC to consu...
In a recent decision issued in the Lehman Brothers Inc. SIPA proceeding in the Southern District of New York, In re Lehman Brothers Inc., Case No. 08-01420 (JMP) (SIPA), slip op. (Bankr. ...
On Wednesday, October 5, the American Banker made public a September 30 draft of the imminent interagency release on the Volcker Rule. Although the leaked draft includes the rulemaking re...
On Wednesday, October 5, the American Banker made public a September 30 draft of the imminent interagency release on the Volcker Rule. Although the leaked draft includes the rulemaking re...
A National Exam Risk Alert released by the SEC’s Office of Compliance Inspections and Examinations reveals that the SEC staff is taking an expansive view of a broker-dealer’s obligati...
The SEC’s new Large Trader Reporting Rule should be reviewed by corporations and individuals that exercise discretion over transactions in U.S.-listed listed stocks and options. Effecti...
As revealed in court documents filed last week, a series of lawsuits filed in New York by shareholders who claimed that bonuses paid to Goldman Sachs employees resulted in corporate waste...
The stock markets have proposed to tighten the market-wide circuit breakers that halt trading in the equity markets. The proposals were prompted, in large part, by the May 6, 2010 Flash C...