Publications of Interest > Bank Regulatory > Finance > Business & Finance > Practices : Morgan, Lewis & Bockius

07/22/10 Reforming "Too Big to Fail"

LawFlash/Client Alert | Financial Regulatory Reform LawFlash
Annie Wells

The financial reform bill creates a new liquidation process that would allow the FDIC to seize control of large, interconnected financial companies, including broker-dealers, whose imminent failure threatens the stability of the U.S. financial system as a whole.

02/02/10 Down from the Shelf: Special Charter Used to Purchase Failed Bank

LawFlash/Client Alert | Business and Finance LawFlash
Business and Finance Practice

Private equity investors long intrigued with the idea of investing in failed depository institutions can now point to a novel success story. On January 22, the Office of the Comptroller of the Currency (OCC) approved the initia... more

06/19/09 Financial Regulatory Reform—The Obama Administration Proposal

LawFlash/Client Alert | Business and Finance LawFlash
Business and Finance Practice

On June 17, 2009, the Obama administration released its recommendations to reform the financial regulatory system: Financial Regulatory Reform—A New Foundation: Rebuilding Financial Supervision and Regulation. Describing ... more

12/01/08 Recent Regulatory Initiatives Pave Way for New Bank Investors

LawFlash/Client Alert | Business and Finance LawFlash
Business and Finance Practice

The announcement on Friday, November 21 of a regulatory first—the approval of a “shelf” or “expandable” charter—is the latest sign that bank regulators wish to encourage new equity investors i... more

02/27/03 SEC Adopts Final Rules Exempting Banks From The Definition Of Dealer – Compliance Date September 30, 2003

LawFlash/Client Alert | Securities LawFlash
Securities Industry

The U.S. Securities and Exchange Commission has adopted final rules concerning when banks meet the Exchange Act definition of “dealer,” as modified by the Gramm-Leach-Bliley Act (GLBA). Effective September 30, 2003, a bank that... more

Winter 2003 Comptroller Prevails in Agents' Latest Attack on Bank Insurance Sales, Bank Insurance Marketing

Outside Publication | Article
Kathleen Collins

11/20/02 SEC Proposes Rules Addressing Circumstances When Banks Must Register As Brokers Or Dealers

LawFlash/Client Alert | Securities LawFlash
Kathleen Collins, Jack Drogin, Steven Stone

On October 30, 2002, the SEC proposed rules under the Gramm-Leach-Bliley Act (GLBA) addressing some of the securities activities banks may engage in without having to register as brokers or dealers with the SEC. Although GLBA w... more