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11 Mar 2022, 10:05 am
FINRA Fines Deutsche Bank Securities, Inc. $2 Million For Best Execution Violations The Financial Industry Regulatory Authority (FINRA) announced that it has fined Deutsche Bank Securities, Inc. $2 million for failing to comply with its obligation to seek “best execution” for its customers’ orders, according to a press release on March 8. [read post]
16 Nov 2021, 1:36 pm
Wyoming is best known for its successful fossil fuel industries such as coal, oil, and gas. [read post]
27 May 2013, 10:48 pm
In a conversation with an industry colleague about the agency’s predictions, I expressed my skepticism about the reliability of the agency’s and even suggested that the entire prediction effort had very low value. [read post]
13 Oct 2011, 8:46 am
For this reason, banking is fundamentally different from industries that make things and sell them. [read post]
8 Sep 2010, 1:50 pm
The substantive impact of the banks’ policy statements remains to be seen. [read post]
24 Sep 2009, 5:44 am
[JURIST] The US House of Representatives Financial Services Committee [official website] heard testimony [materials; recorded video] Wednesday from banking industry regulators, but dismissed their prior efforts as ineffective. [read post]
24 Jul 2020, 8:55 pm
On 23 July 2020, the European Central Bank (ECB) published the results of its industry-wide assessment of banks’ preparedness for the benchmark interest rate reforms. [read post]
16 Dec 2009, 6:20 am
However, crises do seem to present a unique opportunity for banks to boost their relative standing in the industry. [read post]
3 May 2019, 5:15 am
Today’s article pertains to the Financial Technology (FinTech) industry, which is defined as technology used to support banking and financial services. [read post]
18 Aug 2022, 7:19 am
In our discussion of regulatory challenges, we consider the continuing impact of “true lender” challenges on bank-nonbank partnerships, how regulators approach industry innovation, and whether regulators should face stronger challenges from industry (including what the SCOTUS EPA decision could mean for such challenges). [read post]
20 Mar 2017, 8:18 am
In Seyfarth’s second installment in its series of 2017 Trade Secret Webinars, Seyfarth attorneys Scott Humphrey, Robyn Marsh, and Dawn Mertineit will focus on trade secret and client relationship considerations in the banking and financial services industry, with a particular focus on a firm’s relationship with its FINRA members. [read post]
12 Mar 2023, 9:01 pm
The U.S. banking system remains resilient and on a solid foundation, in large part due to reforms that were made after the financial crisis that ensured better safeguards for the banking industry. [read post]
20 Feb 2018, 2:35 am
The report assesses how technology driven innovation in financial services may affect the banking industry and the activities of supervisors in the near to medium term. [read post]
3 Oct 2018, 8:35 am
For example, banks could help the intelligence community develop indicators and warnings of threats. [read post]
13 May 2009, 4:40 am
Oh, we are not just talking regulatory changes, or alterations or limitations on the type of investing banks can do. [read post]
15 May 2018, 3:05 pm
Tracy said that has helped to limit the number of lawsuits across all industries. [read post]
29 Dec 2021, 12:25 pm
Thousands of people are fighting to get into the industry, but working with investors may have some tax implications and repercussions for cannabis companies. [read post]
9 Jan 2017, 3:01 pm
On January 3, 2017, the Office of the Comptroller of the Currency (the “OCC“) finalized a rule that prohibits national banks and federal savings associations from dealing or investing in industrial or commercial metals. [read post]
7 Mar 2019, 3:53 pm
As a result of these actions by the Department of Justice, Springfield Bank, a downstate bank which had been operating as the main source of financial services for the Illinois medical cannabis industry, stopped providing services to the industry in the spring of 2018. [read post]
2 May 2011, 12:14 pm
In a letter to the SEC and the federal banking agencies, the securities industry urged the regulators when implementing Dodd-Frank's Volcker Rule to exempt from the definition of hedge fund and private equity fund issuers that originate, buy, sell or securitize loans or assets based on loans. [read post]
