Financial Institution Litigation
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FINRA Says Receipt of PPP Loan May Not Require Form U-4 Disclosure
April 15, 2020 | Blog
In its online forum regarding COVID-19/Coronavirus, FINRA stated that a loan received pursuant to the Paycheck Protection Program (PPP) does not necessarily trigger a disclosure on the Form U-4
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Fed To Add COVID-19 as Essential New Element to Bank Stress Tests
April 13, 2020 | Blog | By Pete Michaels
The Federal Reserve (Fed) announced that it is modifying this year's stress test to reflect how banks have performed during the COVID-19 pandemic.
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FinCEN Addresses the CARES Act, Suspends Implementation of CTR Filing Changes, and Offers COVID-19 Online Contact Mechanism
April 10, 2020 | Blog | By Therese Doherty, LisaMarie Collins
On April 3, 2020, FinCEN issued its second notice related to the COVID-19 pandemic (Notice).
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SEC Says No Reg. BI Extension Despite COVID-19 Concerns
April 6, 2020 | Blog
In a Statement on April 2, the Chairman of the Securities and Exchange Commission (SEC), Jay Clayton, announced that the June 30, 2020 timeline for implementation of Regulation Best Interest (“Reg. BI”) will remain.
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The CFTC and NFA Offer Further No-Action Relief to Market Participants in Response to the Unprecedented Conditions Posed by COVID-19
April 3, 2020 | Blog | By Therese Doherty, Jason Burrell
On March 31, 2020, the CFTC extended temporary no-action relief to foreign affiliates of certain futures commission merchants (FCMs) in further response to the COVID-19 pandemic.
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The CFTC Issued a Third Wave of No-Action Relief in View of the COVID-19 Pandemic and the NFA Followed Suit
March 24, 2020 | Alert | By Therese Doherty, Jason Burrell
This alert covers new DSIO temporary relief to a major insured depository institution (IDI) and commodity pool operators related to COVID-19 as well as temporary relief from the NFA to CPO members.
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The CFTC and NFA Offer No-Action Relief to Market Participants Facing Unprecedented Conditions Posed by the COVID-19 Pandemic
March 19, 2020 | Advisory | By Therese Doherty, Jason Burrell
This alert outlines the conditions set forth in the DSIO and DMO’s no-action letters providing temporary relief to market participants facing COVID-19–related challenges.
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Regulatory Update for NFA and FINRA Member Firms — COVID-19
March 18, 2020 | Alert | By Therese Doherty, Kara M. Cormier, Jason Burrell
This alert from the Mintz Financial Services Practice reviews the recent relief and guidance provided for NFA and FINRA member firms related to challenges posed by the COVID-19 pandemic.
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The New York City Bar Association Goes to Bat for Compliance Officers
February 13, 2020 | Blog | By Michael Pastore, Jason Burrell
The New York City Bar Association Compliance Committee (“Committee”) recently issued a report encouraging financial regulators to provide a clear framework for when compliance officers may be held personally liable for the misconduct of their employing institutions.
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Consumer Financial Protection Bureau Issues Guidance Clarifying Abusiveness Standard
January 27, 2020 | Blog | By Pete Michaels, Michael Pastore
During the Consumer Financial Protection Bureau’s (“CFPB”) symposium series in June 2019, the featured panel discussed whether it was necessary for the Bureau to further define “abusive acts or practices” under the Dodd-Frank Act.
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2020 Exam Priorities of Financial Services Industry
January 22, 2020 | Blog | By Pete Michaels, Michael Pastore
As they do at this time each year, the SEC Office of Compliance, Inspections and Examinations (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”) recently announced their examination priorities for 2020.
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