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20 Jun 2011, 7:39 am
Securities and banking associations have asked the banking agencies to extend the comment period for their proposed rulemaking on the capital and margin requirements for covered swap entities so that the comment period coincides with the anticipated SEC rules on capital and margin. [read post]
30 Dec 2015, 4:00 am
Enhanced security for banking transactions taking place on cloud infrastructures is featured within U.S. [read post]
12 Aug 2012, 7:34 am
The crisis came at the end of a decades-long transformation of the U.S. financial services sector that blurred the boundaries between banking and securities businesses. [read post]
22 May 2018, 5:10 pm
Carbon Black: “Despite investing heavily in security, financial institutions continue to experience cyber attacks at a rapid pace. [read post]
20 Dec 2018, 11:54 am
In this week’s episode, Pennsylvania Secretary of Banking and Securities Robin Wiessmann discusses lessons learned from the 2009 financial crisis and concerns arising from today’s market conditions and regulatory environment, shares her views on the OCC’s fintech charter and provides an update on steps that States are taking to relieve regulatory burdens on fintech companies, and explains her agency’s approach to virtual currency. [read post]
FSB published progress report on the implementation of G20 non-bank financial intermediation reforms
18 Jan 2023, 7:30 am
Dampen financial stability risks and pro-cyclical incentives associated with securities financing transactions (SFTs). [read post]
22 Mar 2023, 7:15 pm
With Silicon Valley Bank Collapse, Our Skilled Securities Fraud Lawyers Are Investigating Brokerage Firms That May Have Made Misrepresentations Just days after Silicon Valley Bank collapsed and was taken over by US banking regulators, sources report that parent company SVB Financial Group (SIVB: NASDAQ) may mull bankruptcy. [read post]
17 May 2011, 12:02 am
Schneiderman, the New York attorney general, is seeking information and documents from Bank of America, Goldman Sachs and Morgan Stanley about their mortgage securities operations in the years before the financial crisis, The New York Times reports. [read post]
18 Jan 2010, 1:44 pm
The New York Times reports that the banking industry is not taking the proposal of a special bank tax lying down (emphasis added): In an e-mail message sent last week to the heads of Wall Street legal departments, executives of the lobbying group, the Securities Industry and Financial Markets Association, wrote that a bank tax might [...] [read post]
12 Jan 2016, 8:48 am
Anthony Hamiel has joined 1st Mariner Bank as a financial adviser. [read post]
16 Mar 2023, 9:05 pm
Non-bank financial intermediation (NFBI) – encompassing a broad range of capital sources, including broker-dealers, private funds, and open-end funds (OEFs) – is vital for the financing of the real economy, serving as a critical complement to the traditional banking sector. [read post]
20 Jul 2021, 10:07 am
When you work for a financial institution like a bank or credit union, you are expected to follow strict security measures. [read post]
23 Mar 2009, 5:13 pm
Richard Bernstein, the Chief Investment Strategist of Bank of America Securities-Merrill Lynch has some pretty eye-catching advice. [read post]
16 Nov 2016, 8:20 am
This summer, the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) both fined Merrill Lynch, the brokerage arm of Bank of America Corporation, for negligently failing to adequately disclose information in connection with the sale of a product called “Strategic Return Notes” (“SRNs”). [read post]
31 Jul 2012, 3:12 pm
The crisis came at the end of a decades-long transformation of the U.S. financial services sector that blurred the boundaries between banking and securities businesses. [read post]
13 Mar 2020, 10:05 am
Security procedures are an integral part of the relationship between the financial institution and its commercial customers. [read post]
12 Sep 2010, 8:33 am
Here is the abstract: The 2010 financial reform law provides a summary procedure whereby the government can take over and liquidate a non-bank financial... [read post]
28 Dec 2011, 11:55 am
The Bank of New York Mellon Corp. [read post]
4 Sep 2021, 6:31 am
FINRA has suspended Deutsche Bank Securities Inc. broker Garrett Neubart from the securities industry for two months. [read post]
29 Jun 2011, 6:57 am
[JURIST] Bank of America (BOA) [corporate website] announced Wednesday that it has agreed to pay $8.5 billion [press release] to settle claims that it sold bad securities contributing to the housing market collapse. [read post]
