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Structured Thoughts:
News for the financial services community.
Volume 4, Issue 13
In this issue of Structured Thoughts we discuss: FINRA’s Report on conflicts of interest issues for the structured products market; and structured notes, their hedges, and Dodd-Frank.
Lloyd Harmetz and James Schwartz
10/15/2013
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, New Products, Structured Products
Newsletter
CFPB Signals Additional Concerns about Consumer Credit Card Market with Report on CARD Act
Rick Fischer, Oliver Ireland, Obrea Poindexter, and Matthew Janiga
10/2/2013
Banking + Financial Services, Financial Institutions + Financial Services
Client Alert
CFTC Staff Issues Commodity Option Frequently Asked Questions (“FAQs”)
Julian Hammar and Michael Sorrell
10/2/2013
Banking + Financial Services, Energy, Financial Institutions + Financial Services, Investment Management
Client Alert
Private Offerings: Questions that Might Frequently be Asked Sometime Soon (Part II)
Anna Pinedo and David Lynn
10/2/2013
Capital Markets, Emerging Companies + Venture Capital, Financial Institutions + Financial Services, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
Changing the Rules of the Game After the Whistle Has Blown
The Corporate Counselor, Vol. 28, No. 6
Janie Schulman
October 2013
Corporate, Employment + Labor, Financial Institutions + Financial Services, Litigation, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Article
The Consumer Financial Protection Bureau: Measuring the Progress of a New Agency
Bipartisan Policy Center
Rick Fischer
September 2013
Banking + Financial Services, Financial Institutions + Financial Services, Financial Services
Article
Reprinted with permission.
Disclosure Requirements and Advertising Rules for CPOs
Ze'-ev Eiger
9/20/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management
Client Alert
SEC Propose Pay Ratio Disclosure Rules
David Lynn, Lawrence Bard, and Stephanie Wingader
9/19/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
Brave New World For Data Furnishers
Law360
Andrew Smith and Ana-Maria Ignat
9/17/2013
Banking + Financial Services, Financial Institutions + Financial Services
Article
Reprinted with permission.
Financial Services Report, Fall 2013
William Stern, Ana-Maria Ignat, Matthew Janiga, Jeremy Mandell, Rita Lin, Elizabeth Balassone, Thomas Noto, Angela Kleine, Nathan Taylor, Nancy Thomas, Tiffany Cheung, and Obrea Poindexter
9/16/2013
Banking + Financial Services, Financial Institutions + Financial Services, Financial Services, Financial Services Litigation
Newsletter
Brave New World for Data Furnishers
Andrew Smith, Ana-Maria Ignat, and Nathan Taylor
9/9/2013
Banking + Financial Services, Financial Institutions + Financial Services
Client Alert
The Guide to Social Media and the Securities Laws
David Lynn and Jay Baris
September 2013
Capital Markets, Financial Institutions + Financial Services, Investment Management, Public Companies Counseling + Compliance, Social Media
Article
Structured Thoughts:
News for the financial services community.
Volume 4, Issue 12
This issue of Structured Thoughts discusses structured products and the SEC’s new general solicitation and bad actor rules; and offering terms that are determined after the time of a product’s pricing.
Lloyd Harmetz and Bradley Berman
9/3/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, Financial Services, New Products, Structured Products
Newsletter
First steps on the path forward
International Financial Law Review
James Schwartz Robert J. Dilworth
September 2013
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services
Article
Reprinted with permission.
Contingent Capital Securities: Evolution or Disruption?
Thomson Reuters: Business Law Currents
Anna Pinedo
8/14/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, New Products
Article
Reprinted with permission.
Federal Court Finds That Issuer Shares Purchased with Bitcoin Are Securities
Jay Baris
8/14/2013
Banking + Financial Services, Financial Institutions + Financial Services, Investment Management, Mobile Payments
Article
How to Avoid Enforcement Actions for Unfair or Deceptive Acts and Practices
Bloomberg BNA
Leonard Chanin
8/13/2013
Banking + Financial Services, Financial Institutions + Financial Services
Article
Reproduced with permission from BNA’s Banking Report, 101 BBR 286, 8/13/13, 08/13/2013. Copyright 2013 by The Bureau of National Affairs, Inc. (800-372-1033) http://www.bna.com
Structured Thoughts:
News for the financial services community.
Volume 4, Issue 11
In this issue of Structured Thoughts, we examine complex products and conducting a reasonable basis suitability review; guidelines for presenting backtested performance data; IOSCO’s final report on principles for financial benchmarks; the SEC and FINRA’s concerns regarding the sale of complex products to senior citizens; the “retailisation” of structured products in the EU; FINRA’s recent FAQ on TRACE and variable price reofferings; and other timely topics.
Anna Pinedo, Lloyd Harmetz, Bradley Berman, Justin Kamen, Helen Yu, and Nimesh Christie
8/12/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, Financial Services, New Products, Structured Products
Newsletter
FINRA Actions and the Due Diligence Obligations of Broker-Dealers in Private Placements
Ze'-ev Eiger
8/5/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management
Client Alert
D.C. District Court Finds Fed Interchange Rules Are Invalid
Oliver Ireland, Nathan Taylor, and Ryan Rogers
8/2/2013
Financial Institutions + Financial Services
Client Alert
SEC Adopts Bad Actor Qualifications
Insights: The Corporate & Securities Law Advisor, Vol. 27, No 8
Bradley Berman
August 2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Private Placements + PIPEs
Article
Private Offerings: Questions that Might Frequently be Asked Sometime Soon
Anna Pinedo, James Tanenbaum, and David Lynn
7/23/2013
Capital Markets, Emerging Companies + Venture Capital, Financial Institutions + Financial Services, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
Inter-Governmental Task Force Recommends Extending Anti-Money Laundering Measures to Telecoms, Software Companies and Other Non-Traditional Mobile Payments Providers
Rick Fischer, Obrea Poindexter, Barbara Mendelson, and Sean Ruff
7/22/2013
Banking + Financial Services, Financial Institutions + Financial Services, Mobile Payments
Client Alert
MoFo Tax Talk
Volume 6, Issue 2
Thomas Humphreys, Anna Pinedo, Stephen Feldman, Remmelt Reigersman, David Goett, David de Ruig, Meimay Law, and Lloyd Harmetz
7/22/2013
Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, New Products, Structured Products
Newsletter
The STOCK Act and the Political Intelligence Industry
Harvard Law School Forum on Corporate Governance and Financial Regulation
Daniel Nathan and Ana-Maria Ignat
7/20/2013
Banking + Financial Services, Financial Institutions + Financial Services, Investment Management, Public Companies Counseling + Compliance, Regulatory + Enforcement, Securities Litigation, Enforcement + White-Collar Defense
Article
Reprinted with permission.
Bitcoin Receives Cease and Desist Order Evidencing Increased Regulatory Scrutiny of Virtual Currency
Rick Fischer and Obrea Poindexter
7/18/2013
Banking + Financial Services, Financial Institutions + Financial Services, Mobile Payments
Client Alert
Senators Request CFPB Issue Guidance and Rulemakings, Bring Enforcement Actions Relating to Payroll Card Programs
Rick Fischer, Obrea Poindexter, Sean Ruff, and Matthew Janiga
7/18/2013
Banking + Financial Services, Financial Institutions + Financial Services
Client Alert
Dodd-Frank Update: SEC Adopts Bad Actor Disqualifications for Private Placements under Regulation D
Bradley Berman
7/15/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Private Placements + PIPEs
Client Alert
CFPB Issues FDCPA and UDAAP Guidance for Creditors and Their Service Providers
Andrew Smith, Obrea Poindexter, and Ryan Rogers
7/11/2013
Banking + Financial Services, Financial Institutions + Financial Services
Client Alert
Changing Banking for Good or for Better?
Jeremy Jennings-Mares, Peter Green, and Nimesh Christie
7/11/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services
Client Alert
JOBS Act Implementation: Rule 506 Rulemaking
Teleconference
Anna Pinedo, Jay Baris, and David Lynn
7/11/2013
Capital Markets, Emerging Companies + Venture Capital, Financial Institutions + Financial Services, Public Companies Counseling + Compliance
Multimedia
Goldilocks, Porridge and General Solicitation
Anna Pinedo, Jay Baris, and David Lynn
7/10/2013
Banking + Financial Services, Capital Markets, Emerging Companies + Venture Capital, Financial Institutions + Financial Services, Investment Management, Public Companies Counseling + Compliance
Client Alert
UK Implementation of AIFMD: FCA Notification Forms
Jeremy Jennings-Mares, Peter Green, Jay Baris, and Afia Fening
7/10/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management, Private Placements + PIPEs
Client Alert
Capital Is Contagious—The FDIC and OCC Approve Final Risk-based Capital Rules, and the Agencies Propose a Supplemental Leverage Capital Ratio for Large U.S. Banking Organizations
Oliver Ireland, Barbara Mendelson, and Jeremy Jennings-Mares
7/9/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services
Client Alert
Structured Thoughts:
News for the financial services community.
Volume 4, Issue 10
In this issue of Structured Thoughts, we discuss FINRA’s alert concerning the purchase of structured products in order to increase returns; the IOSCO report regarding more uniform regulation and greater transparency for exchange-traded products; and FINRA’s decision to forgo its proposal to require supervision of non-securities business.
Lloyd Harmetz, Bradley Berman, and Jay Baris
7/9/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, Financial Services, New Products, Structured Products
Newsletter
They’re Here: The Final Interagency Regulatory Capital Rules
Oliver Ireland, Barbara Mendelson, and Jeremy Jennings-Mares
7/2/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Financial Services
Client Alert
UK Implementation of AIFMD: UK Private Placement Regime and non-EU Fund Managers
Jeremy Jennings-Mares, Peter Green, Afia Fening, and Jay Baris
7/2/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management, Private Placements + PIPEs
Client Alert
Extraterritorial Regulation Survey 2013: US Chapter
IFLR Survey
Barbara Mendelson and Nathan Taylor
July 2013
Antitrust Law, Banking + Financial Services, Financial Institutions + Financial Services, Financial Services, Privacy + Data Security
Article
Reprinted with permission.
More Leverage for the Unleveraged - Basel Committee Proposes Specific Leverage Capital Framework for Banking Organizations
Henry Fields, Peter Green, Oliver Ireland, Jeremy Jennings-Mares, David Kaufman, Barbara Mendelson, Anna Pinedo, and James Schwartz
7/1/2013
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services
Client Alert
Time for a U.S. Alternative
International Financial Law Review
Jerry Marlatt and Anna Pinedo
July/August 2013
Banking + Financial Services, Capital Markets, Covered Bonds, Financial Institutions + Financial Services
Article
Reprinted with permission.
Towards a Better Measure of Regulatory Capital
Bloomberg BNA
6/25/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services
Article
Reproduced with permission from BNA’s Banking Report,100 BBR 1150, 06/25/13, Copyright 2013 by The Bureau of National Affairs, Inc. (800-372-1033) http://www.bna.com.
The STOCK Act and the Political Intelligence Industry: No Easy Answers
Daniel Nathan and Ana-Maria Ignat
6/24/2013
Banking + Financial Services, Financial Institutions + Financial Services, Investment Management, Public Companies Counseling + Compliance, Regulatory + Enforcement, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
FINRA Issues Sweep Letter Regarding Use of Social Media
Daniel Nathan, Hillel Cohn, Anna Pinedo, Jay Baris, and David Lynn
6/19/2013
Broker-Dealer Compliance + Regulation, Capital Markets, Financial Institutions + Financial Services, Social Media
Client Alert
Structured Thoughts:
News for the financial services community.
Volume 4, Issue 9
In this issue of Structured Thoughts, we examine how the UK’s FCA has restricted the marketing of unregulated collective investment schemes and similar products to retail investors; electronic structured note systems and U.S. securities regulation; and various reminders from the SEC and FINRA.
Lloyd Harmetz and Bradley Berman
6/17/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, Financial Services, New Products, Structured Products
Newsletter
Dodd-Frank at 3: The Snail and the Tortoise
Jay Baris, Melissa Beck, Leonard Chanin, Oliver Ireland, David Kaufman, Kenneth Kohler, David Lynn, Jerry Marlatt, Anna Pinedo, and James Schwartz
6/7/2013
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Financial Services, Investment Management, New Products, Public Companies Counseling + Compliance, Structured Finance + Securitization
User Guide
Fed Comes to the Rescue: Interim Final Rule for Foreign Banks under Lincoln Amendment
Barbara Mendelson, David Kaufman, and Marc-Alain Galeazzi
6/6/2013
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Global Offerings
Client Alert
Financial Services Report, Summer 2013
William Stern, Angela Kleine, Ana-Maria Ignat, Matthew Janiga, Rebekah Kaufman, Nathan Taylor, and Nancy Thomas
6/6/2013
Banking + Financial Services, Financial Institutions + Financial Services, Financial Services, Financial Services Litigation
Newsletter
Mobile Apps Bill Introduced in the House of Representatives
Rick Fischer, Obrea Poindexter, and Ryan Rogers
6/5/2013
Banking + Financial Services, Financial Institutions + Financial Services, Mobile Payments
Article
SEC Proposes Floating NAV for Institutional Prime Money Market Funds; “Fees and Gates” for Non-Government Funds
Jay Baris and Oliver Ireland
6/5/2013
Banking + Financial Services, Financial Institutions + Financial Services, Investment Management
Client Alert
CFPB Fair Lending Guidance for Indirect Auto Lenders – It's Not Just About Cars
Leonard Chanin and Matthew Janiga
6/4/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Financial Services Litigation
Client Alert
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