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27 Jun 2008, 8:37 pm
European Central Bank Official Predicts Single Securities Settlement RegimeThe best route to a single cross-border transparent securities settlement system in which real time settlement in central bank money is provided across accounts is the Target2 Securities Initiative. [read post]
24 Jan 2022, 4:10 am
Drawbacks include system downtime or operational stability, security issues, and technological illiteracy. [read post]
17 Apr 2009, 2:31 am
But even though Goldman has pledged quickly to repay $10 billion it owes the federal government, the company has not promised rapid repayment of $28 billion in government-secured loans it received from private investors.When financial markets froze last year, the government enacted TARP in order to provide direct financial assistance to banks. [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]
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]
11 Apr 2014, 10:57 am
Chang has posted The Systemic Risk Paradox: Banks and Clearinghouses Under Regulation on SSRN with the following abstract: Consolidation in the financial industry threatens competition and increases systemic risk. [read post]
20 Aug 2014, 11:55 am
Bank of America has reached a record $17 billion settlement to resolve an investigation into its role in the sale of mortgage-backed securities before the 2008 financial crisis, officials directly familiar with the matter said Wednesday. [read post]
12 Feb 2014, 8:05 pm
[Bainbridge] “It’s Time To Grill the Federal Reserve About Bitcoin” [Ira Stoll] Tweet Tags: banks, Delaware, Securities and Exchange Commission, securities litigationFinancial and banking roundup is a post from Overlawyered - Chronicling the high cost of our legal system [read post]
26 Jan 2014, 6:55 am
Furthermore, many of the proposed regulatory responses for shadow banking have policy trade-offs analogous to regulatory policies in banking, and some shadow banking sectors already have a financial regulatory regime (such as securities regulations). [read post]
21 Mar 2011, 5:00 am
Royal Bank of Scotland (“RBS”), a British bank, has two U.S. subsidiaries: Greenwich Capital Markets and Citizens Financial Group. [read post]
1 Aug 2012, 2:43 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]
16 Oct 2020, 12:22 pm
Jeffrey Broten was a financial advisor and registered representative at the following firms: Newbridge Securities Corporation (affiliated with Black River Wealth Management LTD), Morristown, NJ (August 2019 to December 2019); First Standard Financial Company LLC, Red Bank, NJ (February 2018 to August 2019); and Continue reading The post Financial Advisor Jeffrey Broten (CRD# 1006678) BARRED by FINRA – New Jersey appeared first on Securities… [read post]
22 May 2010, 3:55 pm
The Financial Industry Regulatory Authority says that Deutsche Bank Securities and National Financial Services LLC have consented to be fined $925,000 in total for supervisory violations, as well as Regulation SHO short sale restrictions violations. [read post]
10 Apr 2012, 11:33 am
The hedge fund, securities and banking industries, along with other financial trade associations, filed an amicus brief in the US Supreme Court arguing that the federal bankruptcy code does not allow a debtor to bar secured lenders from credit bidding to protect themselves against the potential undervaluation of their collateral in bankruptcy. [read post]
21 Oct 2021, 12:50 pm
Here, a lawyer in Kabul offers his personal observations and perspective on recent banking and financial developments in Afghanistan. [read post]
22 Mar 2010, 3:08 pm
Senate Banking Committee Reports Out Financial Reform Bill with Kohl Financial Planner and Senior Investor Protection AmendmentsThe Senate Banking Committee has reported out financial reform legislation on a partisan 13-10 vote. [read post]
9 Mar 2014, 11:34 am
Other patent applications we noticed include a system for identifying phishing websites that steal customer information across the World Wide Web, as well as a personal budgeting manager for financial accounts. [read post]
27 Feb 2024, 7:57 am
This is where the Secure and Fair Enforcement Regulation (SAFER) Banking Act, formerly known as the SAFE Banking Act of 2019, comes in. [read post]
27 Feb 2024, 7:57 am
This is where the Secure and Fair Enforcement Regulation (SAFER) Banking Act, formerly known as the SAFE Banking Act of 2019, comes in. [read post]
15 Mar 2021, 7:47 am
Scott Silver is also the chairman of the Securities and Financial Fraud Group of the American Association of Justice and represents investors nationwide in securities investment fraud cases. [read post]
