Publications

Searched Practice: Financial Institutions

"D.C. Circuit Rejects Department of Labor's 2010 Interpretation That Loan Officers Are FLSA Nonexempt, Sending a Strong Signal on "Agency Flip-Flops"," Covington E-Alert (7/10/2013)
Thomas Williamson Co-Author, Nicholas Hailey Co-Author

"Financial Institutions Face New Debarment Risks," Law360 (4/17/2013)
Jade Totman Co-Author

"Financial Institutions Face New Suspension and Debarment Risks," Covington E-Alert (4/17/2013)
Steven Shaw Co-Author, John Dugan Co-Author, Bruce Bennett Co-Author, Stuart Stock Co-Author, Jade Totman Co-Author

"CFTC Exempts Certain Energy Transactions from Dodd-Frank Regulation," Covington E-Alert (4/5/2013)

"HUD Issues Final Disparate Impact Rule Under the Fair Housing Act," Covington Advisory (2/14/2013)
John Dugan Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author, Stuart Stock Co-Author, D. Jean Veta Co-Author, Edward Yingling Co-Author

"Data Privacy and the Foreign Account Tax Compliance Act," Covington E-Alert (2/14/2013)
Daniel Cooper Co-Author, Dirk Suringa Co-Author

"Financial Institutions Face Increasing Exposure Under the False Claims Act," Covington Advisory (1/29/2013)
D. Jean Veta Co-Author, Jennifer Xi Co-Author

"Noel Canning v. NLRB and the Implications for the CFPB," Covington E-Alert (1/25/2013)
John Dugan Co-Author, Keith Noreika Co-Author, Mark Mosier Co-Author

"CFTC Issues Final Cross-Border Exemptive Order and Proposed Further Guidance Regarding Cross-border Application of Dodd-Frank Swap Provisions," Covington E-Alert (1/2/2013)
Bruce Bennett Co-Author, Julian Hammar Co-Author, Keith Noreika Co-Author, Ira Palgon Co-Author, William Massey Co-Author, Kerry Burke Co-Author

"Three Years Later: Reflections on the Financial Crisis and the OCC," 4th Annual Financial Regulatory Reform Symposium (10/26/2012)
John Dugan

"CFTC and SEC Jointly Adopt Swap Product Definition Rules and CFTC Adopts a Final Rule Implementing End-User Exception From Mandatory Clearing," Covington E-Alert (7/27/2012)
Bruce Bennett Co-Author

"CFPB Adopts Final Privilege Preservation Rule," Covington Advisory (6/29/2012)
Stuart Stock Co-Author, John Dugan Co-Author, D. Jean Veta Co-Author, Jennifer Xi Co-Author

"Government Loan Programs Spawn New Liability: False Claims Act Prosecutions," BNA Banking Report (6/26/2012)
D. Jean Veta Co-Author, Jennifer Xi Co-Author

"Federal Court Rejects Banking Group Challenge to DOL Position Change on Loan Officers' Exempt Status under FLSA," Covington E-Alert (6/22/2012)
Thomas Williamson Co-Author, Lindsay Burke Co-Author

"CFTC Proposes Changes to Position Limits Aggregation Rules," Covington E-Alert (5/23/2012)

"When the Sky is Falling, Don’t Be Chicken Little," Covington Report (5/10/2012)
D. Jean Veta Co-Author

"CFTC and SEC Jointly Adopt Final Swap Entity Definition Rules," Covington Advisory (5/7/2012)
William Massey Co-Author, Mark Herman Co-Author

"The U.S. Volcker Rule and its Restrictions on Fund Activities: A Primer for Non-U.S.Financial Institutions and the Fund Managers that Market to Them," World Securities Law Report (May 2012)
Keith Noreika Co-Author, Carey Roberts Co-Author

"Federal Reserve Clarifies Volcker Rule Conformance Period Regulation," Covington Advisory (4/20/2012)
John Dugan Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Jennifer Xi Co-Author, Carey Roberts Co-Author

"CFPB Focuses on Credit Discrimination Practices," Covington Advisory (4/19/2012)
Keith Noreika Co-Author, Stuart Stock Co-Author, Jennifer Xi Co-Author

"IRS and Treasury Release Proposed FATCA Regulations," Covington E-Alert (2/13/2012)
Dirk Suringa Co-Author, Gregory Frischmann Co-Author

"Legal Issues Raised by Recess Appointment of the Director of the Consumer Financial Protection Bureau," Bloomberg Law Reports (1/26/2012)
John Dugan Co-Author, Stuart Stock Co-Author, Keith Noreika Co-Author, Jennifer Xi Co-Author

"Fair Lending Compliance After the Countrywide Settlement," Covington Advisory (1/23/2012)
John Dugan Co-Author, D. Jean Veta Co-Author, Michael Nonaka Co-Author

"CFTC Finalizes Rules on Swap Data Recordkeeping and Reporting and Real-Time Reporting," Covington Advisory (1/19/2012)
William Massey Co-Author

"Volcker Rule: CFTC Proposal," Covington Advisory (1/13/2012)
Bruce Bennett Co-Author, Carey Roberts Co-Author

"FDIC Insurance and Regulation of U.S. Branches of Foreign Banks," Regulation of Foreign Banks and Affiliates in the United States (2012)
John Dugan Co-Author, Mark Plotkin Co-Author, Keith Noreika Co-Author, Michael Nonaka Co-Author

"Forms of Entry, Operation, Expansion, and Supervision of Foreign Banks in the United States," Regulation of Foreign Banks and Affiliates in the United States (2012)
John Dugan Co-Author, Mark Plotkin Co-Author, Keith Noreika Co-Author, Michael Nonaka Co-Author

"Financial Industry Transfer Pricing Issues," Practical Guide to U.S. Transfer Pricing (December 2011)
William Chip Author

"Volcker Rule: Proposed Regulations - Covered Fund Provisions," Covington Advisory (10/11/2011)
Carey Roberts Co-Author, Michael Nonaka Co-Author, Stuart Stock Co-Author

"Volcker Rule: Proposed Regulations - Proprietary Trading Provisions," Covington Advisory (10/11/2011)
Carey Roberts Co-Author, Michael Nonaka Co-Author, Stuart Stock Co-Author

"CFTC Proposes Two Rules Clarifying Dodd-Frank Implementation Schedules for Certain Requirements and Previews Future Rulemaking Schedule," Covington E-Alert (9/16/2011)
William Massey Co-Author

"CFTC Issues Final Rules Prohibiting Market Manipulation," Covington E-Alert (7/11/2011)
William Massey Co-Author

"FinCEN Issues Proposed Regulations Implementing Iran Sanctions Legislation," Covington E-Alert (5/6/2011)
Peter Flanagan Co-Author, Corinne Goldstein Co-Author, D. Jean Veta Co-Author, Mark Plotkin Co-Author, David Addis Co-Author, Michael Nonaka Co-Author

"Volcker Rule Study by the Financial Stability Oversight Council," Covington E-Alert (1/31/2011)
Carey Roberts Author

"CFTC Proposes "Pay-to-Play" Rule for the Swaps Market," Covington E-Alert (12/16/2010)
Robert Kelner Co-Author

"Congressional Investigations: Bank of America and Recent Developments in Attorney-Client Privilege," Bloomberg Law Reports (12/6/2010)
D. Jean Veta Co-Author, Brian Smith Co-Author

"Financial Sector Pay Governance," Covington Advisory (12/2/2010)
Simon Currie Co-Author, Christopher Walter Co-Author

"Assistant Attorney General Lanny A. Breuer Outlines Aggressive New Efforts to Prosecute Banks," Covington E-Alert (10/20/2010)
D. Jean Veta Co-Author, Steven Fagell Co-Author

"CFTC Issues Interim Final Rule on Reporting Requirements," Covington Advisory (10/7/2010)

"Dodd-Frank Act: Bureau of Consumer Financial Protection," Covington Advisory (7/21/2010)
Stuart Stock Co-Author, Keith Noreika Co-Author, Gregory Frischmann Co-Author

"Dodd-Frank Act: New Rules for Derivatives," Covington Advisory (7/21/2010)
Philipp Tamussino Co-Author

"Dodd-Frank Act: Systemic Risk Regulation and Orderly Liquidation of Systemically Important Firms," Covington Advisory (7/21/2010)
Stuart Stock Co-Author, Keith Noreika Co-Author, Michael Nonaka Co-Author

"Dodd-Frank Act: Revisions to Bank Holding Company Act, Other Banking Reforms and Federal Bank Regulatory Agency Restructuring," Covington Advisory (7/21/2010)
Stuart Stock Co-Author, Keith Noreika Co-Author

"Dodd-Frank Act: Final Volcker Rule Provisions," Covington Advisory (7/21/2010)
Carey Roberts Co-Author, Keith Noreika Co-Author, Stuart Stock Co-Author

"Financial Regulatory Reform Legislation - Systemic Risk Regulation and Resolution of Systemically Important Firms," Covington E-Alert (6/2/2010)

"Financial Regulatory Reform Legislation - Revisions to Bank Holding Company Act, Other Banking Reforms and Federal Bank Regulatory Agency Restructuring," Covington E-Alert (5/27/2010)

"Financial Regulatory Reform Legislation - Senate Passes Consumer Financial Protection Legislation," Covington E-Alert (5/26/2010)
Gregory Frischmann Co-Author

"Financial Regulatory Reform Legislation - Limits on Proprietary Trading and Fund Sponsorship and Investment Activities," Covington E-Alert (5/25/2010)

"Financial Regulatory Reform Legislation - Senate OTC Derivatives Bill," Covington E-Alert (5/21/2010)

"Senate Financial Reform Legislation Addresses Proprietary Trading," Covington E-Alert (3/19/2010)
Stuart Stock Co-Author, Mark Plotkin Co-Author, Keith Noreika Co-Author, David Martin Co-Author, David Engvall Co-Author, Michael Nonaka Co-Author

"Registration of Advisers to Private Investment Funds," Covington Advisory (3/16/2010)
David Engvall Co-Author, Kerry Burke Co-Author

"Senators Merkley and Levin Introduce Proprietary Trading Legislation," Covington E-Alert (3/12/2010)
Stuart Stock Co-Author, Mark Plotkin Co-Author, Keith Noreika Co-Author, David Martin Co-Author, David Engvall Co-Author, Michael Nonaka Co-Author

"Recent Treasury Guidance On Foreign Bank Account Reports," Covington E-Alert (3/8/2010)
Dirk Suringa Co-Author, Mark Plotkin Co-Author, Michael Nonaka Co-Author

"Federal Reserve Issues Proposed Guidance on Incentive Compensation," Covington E-Alert (10/23/2009)
Stuart Stock Co-Author, Mark Plotkin Co-Author, Keith Noreika Co-Author, Michael Nonaka Co-Author

"Proposed European Regulation of Alternative Investment Fund Managers: Impact on US Fund Managers," Covington Advisory (9/2/2009)
Simon Currie Co-Author, Lisa Peets Co-Author

"Obama Administration Proposes OTC Derivatives Legislation," Covington Advisory (8/12/2009)
Philipp Tamussino Co-Author, David Engvall Co-Author

"Say-on-Pay and Compensation Committee Legislation-And More," Covington E-Alert (7/20/2009)
David Martin Co-Author, David Engvall Co-Author, Stuart Stock Co-Author, Matthew Franker Co-Author

"FDIC Issues Proposed Policy Statement On Qualifications For Failed Bank Acquisitions," Covington E-Alert (7/2/2009)
Stuart Stock Co-Author, Mark Plotkin Co-Author

"The Supreme Court’s Cuomo Decision," Covington E-Alert (6/29/2009)
Stuart Stock Co-Author, Mark Plotkin Co-Author, Keith Noreika Co-Author, Michael Nonaka Co-Author

"Obama Administration Outlines Proposal for Comprehensive Financial Regulatory Reform," Covington E-Alert (6/17/2009)
Stuart Stock Co-Author, David Martin Co-Author, David Engvall Co-Author, Mark Plotkin Co-Author, Keith Noreika Co-Author, Michael Nonaka Co-Author

"Obama Administration Outlines Executive Compensation Reform Plans," Covington E-Alert (6/10/2009)
Stuart Stock Co-Author, David Martin Co-Author, David Engvall Co-Author, Mark Plotkin Co-Author, Keith Noreika Co-Author, Michael Nonaka Co-Author

"New Credit Card Legislation," Covington E-Alert (5/21/2009)
Stuart Stock Co-Author, Mark Plotkin Co-Author, Keith Noreika Co-Author, Gregory Frischmann Co-Author

"Legal Issues Affecting Directors And Officers Of Failed Banks," Covington Report (May 2009)
D. Jean Veta Co-Author

"SIGTARP Issues Quarterly Report to Congress," Covington E-Alert (4/23/2009)
Michael Chertoff Co-Author, Alan Vinegrad Co-Author, Michael Nonaka Co-Author

"New Systemic Risk Legislation," Covington E-Alert (4/17/2009)
Stuart Stock Co-Author, Carolyn Taylor Co-Author

"Treasury Outlines Framework for Financial Regulatory Reform," Covington E-Alert (3/27/2009)
Stuart Stock Co-Author, David Martin Co-Author, David Engvall Co-Author, Keith Noreika Co-Author, Michael Nonaka Co-Author, Mark Plotkin Co-Author

"Treasury Releases Details on Public-Private Investment Program," Covington E-Alert (3/24/2009)
Stuart Stock Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author

"The “Lincoln Law” Meets The Bank Bailout - The False Claims Act and Financial Recovery Measures," Covington E-Alert (3/4/2009)
Sarah Wilson Co-Author, Keith Noreika Co-Author, Stuart Stock Co-Author

"Treasury Issues Additional Guidance for the Capital Assistance Program," Covington E-Alert (2/26/2009)
Stuart Stock Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author

"Agencies Release Information on Forward-Looking Economic Assessments," Covington E-Alert (2/26/2009)
Stuart Stock Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author

"Obama Administration Unveils Housing Support and Foreclosure Mitigation Plan," Covington E-Alert (2/18/2009)
Stuart Stock Co-Author, Keith Noreika Co-Author, Michael Nonaka Co-Author, Mark Plotkin Co-Author

"Congress Passes New Executive Compensation Restrictions for TARP Recipients," Covington E-Alert (2/17/2009)
Stuart Stock Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author

"Obama Administration Unveils Financial Stability Plan," Covington E-Alert (2/10/2009)
Stuart Stock Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author

"Treasury Issues New Executive Compensation Guidelines Under the TARP," Covington E-Alert (2/5/2009)
Stuart Stock Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author

"IRS Issues Guidance on Deferred Compensation of Nonqualified Entities under Section 457A," Covington E-Alert (1/29/2009)
David Engvall C-Author, Michael Francese Co-Author, Carolyn Taylor Co-Author

"Obama Administration Outlines Conditions for Remaining TARP Funds," Covington E-Alert (1/16/2009)
Stuart Stock Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author

"Treasury Releases Additional Information Under the Capital Purchase Program for Financial Institutions in Subchapter S Corporation Form," Covington E-Alert (1/15/2009)
Stuart Stock Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author

"Treasury Establishes Targeted Investment Program," Covington E-Alert (1/5/2009)
Stuart Stock Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author

"Client Advisory On New Federal Credit Card Regulations," Covington E-Alert (12/19/2008)
Keith Noreika Co-Author, Mark Plotkin Co-Author, Stuart Stock Co-Author

"Failing Financial Institution Opportunities," Covington E-Alert (12/1/2008)
Stuart Stock Co-Author, D. Jean Veta Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author

"After the Storm," The Financial Regulator (December 2008)
Mark Plotkin Author

"Federal Reserve Establishes Term Asset-Backed Securities Loan Facility," Covington E-Alert (11/25/2008)
Stuart Stock Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author

"FDIC Issues Final Rule Implementing the Temporary Liquidity Guarantee Program," Covington E-Alert (11/24/2008)
Stuart Stock Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author

"Treasury Releases Additional Information Under the Capital Purchase Program for Private Banks and Bank Holding Companies," Covington E-Alert (11/18/2008)
Stuart Stock Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author

"Agencies and Enterprises Announce Program to Prevent Foreclosures," Covington E-Alert (11/12/2008)
Stuart Stock Co-Author, D. Jean Veta Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author

"The Federal Reserve's Commercial Paper Funding Facility -- Corporate and Other Considerations for Potential Participants," Covington E-Alert (11/5/2008)
Keith Noreika Co-Author, Stuart Stock Co-Author

"Executive Compensation Rules for Financial Institutions Participating in the Capital Purchase Program," Covington E-Alert (10/21/2008)
Carolyn Taylor Co-Author, Michael Francese Co-Author, David Engvall Co-Author

"Federal Reserve Establishes Money Market Investor Funding Facility," Covington E-Alert (10/21/2008)
Stuart Stock Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author

"Treasury Issues Additional Guidance for the Capital Purchase Program," Covington E-Alert (10/20/2008)
Stuart Stock Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author

"Federal Reserve Issues Additional Guidance on the Commercial Paper Funding Facility," Covington E-Alert (10/15/2008)
Stuart Stock Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author

"Treasury Announces Capital Purchase Program for Financial Institutions," Covington E-Alert (10/14/2008)
Stuart Stock Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author

"Deferred Compensation Provisions of the Emergency Economic Stabilization Act," Covington E-Alert (10/10/2008)
Carolyn Taylor Co-Author, Michael Francese Co-Author

"Federal Reserve Establishes Commercial Paper Funding Facility," Covington E-Alert (10/8/2008)
Stuart Stock Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author

"Executive Compensation Provisions of Emergency Economic Stabilization Act of 2008," Covington E-Alert (10/3/2008)
Michael Francese Co-Author, Carolyn Taylor Co-Author

"Congress Passes Omnibus Financial Recovery," Covington E-Alert (10/3/2008)
Stuart Stock Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author, Michael Nonaka Co-Author

"Treasury Department Commences Guaranty Program for Money Market Funds," Covington E-Alert (9/30/2008)
Stuart Stock Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author, Michael Nonaka Co-Author

"Congressional and Administration Leaders Reach Agreement: Proposed Emergency Economic Stabilization Act of 2008," Covington E-Alert (9/29/2008)
Stuart Stock Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author, Michael Nonaka Co-Author

"Federal Reserve Approves Goldman Sachs and Morgan Stanley Applications to Become Bank Holding Companies," Covington E-Alert (9/23/2008)
Stuart Stock Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author, Michael Nonaka Co-Author

"Treasury Legislative Proposal for Authority to Purchase Troubled Assets," Covington E-Alert (9/23/2008)
Stuart Stock Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author, Michael Nonaka Co-Author

"Private Equity Investments in Financial Institutions Part II - The Federal Reserve Issues Policy Statement," Covington E-Alert (9/23/2008)
Stuart Stock Co-Author, D. Jean Veta Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author, Michael Nonaka Co-Author

"Federal Bank Regulators Turn Up the Heat: Responding to Enforcement Actions," Covington E-Alert (July 2008)
Stuart Stock CoAuthor, Mark Plotkin Co-Author, Keith Noreika Co-Author

"Private Equity Investments in Financial Institutions," Covington E-Alert (6/12/2008)
Stuart Stock Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author, Michael Nonaka Co-Author

"America's Blueprint for Change," The Financial Regulator (June 2008)
Mark Plotkin Author

"BSA/AML Regulatory Alert," Covington E-Alert (5/8/2006)
Mark Plotkin Co-Author

"BSA/AML Regulatory Alert," Covington E-Alert (1/5/2006)
Mark Plotkin Co-Author

"A Summary of the Riegle-Neal Interstate Banking and Branching Efficiency Act," 9 J. Int'l Banking L. 402 (October 1994)
Mark Plotkin Co-Author

"Advising Corporate Directors after the Saving and Loan Disaster," 48 Business Lawyer 1499 (1993)

"The Merchants National Decision - Did the Fed Really Win?," American Banker (12/12/1989)
Stuart Stock Author