by David Schwartz J.D. CPA | Aug 13, 2013 | All, Change Overview and Rationale, Disclosure Regimes, Formal Regulatory Remedies
As they depart for the August recess, Congress has left some financial regulatory issues open to occupy their time upon their return next month. Bills addressing high frequency trading, exempting banks as municipal advisers, and relief for brokers engaging in private...
by David Schwartz J.D. CPA | Jul 30, 2013 | All, Formal Regulatory Remedies
The Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, and the Office of the Comptroller of the Currency have issued a request for comments on supervisory expectations for stress tests conducted by medium-sized financial...
by David Schwartz J.D. CPA | Jul 29, 2013 | All, Change Overview and Rationale, Formal Regulatory Remedies
As the market subject to these regulations is international, it is acknowledged that, notwithstanding the high degree of similarity that already exists between the respective requirements, without coordination, subjecting the global market to the simultaneous...
by David Schwartz J.D. CPA | Jul 24, 2013 | All, Change Overview and Rationale, Formal Regulatory Remedies
On July 2, 2013, the Board of Governors of the Fed issued final capital rules for banks implementing both the Basel III Capital Framework and certain additional requirements imposed by the Dodd-Frank Act. On July 17, 2013, the EU’s Capital Requirements Directive...
by David Schwartz J.D. CPA | Jul 15, 2013 | All, Change Overview and Rationale, Commentary, Lender Directed Voting
The federal government is not now and has never been in the business of telling you how you should vote your proxies. But it seems that through regulatory creep, the government may have indirectly given the power to tell investors how to vote their proxies to someone...
