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Administrative Agency Finance & Banking

Read need-to-know updates, commentary, and analysis on Administrative Agency issues written by leading professionals.

ManattJones Global Strategies - May 2017

CEO Executive Summary: Early April felt almost normal. There was no blowup in U.S.-Mexico relations and the Mexican economy performed well. Then came President Trump’s renewed broadsides, insisting that Mexico will pay for...more

Manatt on Health Reform: Weekly Highlights - May 2017 #3

Governors pen bipartisan letter to Congress urging five-year extension of funding for the Children's Health Insurance Program (CHIP); new analyses find Medicaid funding cuts under the AHCA would disproportionately affect...more

Professional Regulatory Alert: If It Looks like a Duck: British Columbia Court of Appeal Rules on Title Use

by Field Law on

Professional regulators are often faced with non-members who use titles similar to those used by regulated members of the profession but not explicitly prohibited by the governing statute. In Organization of Chartered...more

Update On FINRA Regulatory and Examination Priorities

by Bass, Berry & Sims PLC on

In January, FINRA published its 2017 Regulatory and Examination Priorities Letter. As in years past, FINRA noted its ongoing focus on social media and electronic communications retention and supervision and firm's hiring and...more

Update: NYSDOL Appeals Decision to Invalidate Regulation for Employers Who Use Direct Deposit and Payroll Debit Cards

As expected, the New York State Department of Labor (DOL) recently appealed the decision of the New York Industrial Board of Appeals invalidating the DOL regulations concerning employers who use direct deposit or payroll...more

"CFTC Seeks Public Input on Decreasing Burdens of Existing Rules"

On May 3, 2017, the Commodity Futures Trading Commission (CFTC) voted to seek public input on simplifying and modernizing the agency’s rules (Project KISS, 82 Fed. Reg. 21494 (May 9, 2017)). CFTC Acting Chairman J....more

What to Watch for From the New SEC Chairman

Last Thursday, Jay Clayton was officially sworn in as the new Chairman of the Securities and Exchange Commission. As the new Chairman takes office, here are a few things we’re keeping an eye on...more

Jay Clayton Confirmed as SEC Chairman

A new era at the SEC officially began last week when Jay Clayton was sworn in as the 32nd Chairman of the SEC. The Senate’s confirmation of Mr. Clayton on May 2nd by a 61 to 37 vote continued the Trump Administration’s...more

SEC ALJ Lifts Reg A+ Suspension of Issuer

As we noted here, the SEC temporarily suspended the Tier 2 Regulation A+ offering of Med-X, Inc. The SEC stated it temporarily suspended the offering because Med-X has not filed its annual report on Form 1-K as required by...more

CFTC Announces Director of the Office of Legislative Affairs

by Shearman & Sterling LLP on

The US CFTC announced that N. Charles Thornton III has been named the CFTC’s Director of...more

CFPB Insights On Alternative Data Use In Credit Scoring

by WilmerHale on

The growing utilization of alternative data in credit decisions and scoring models continues to attract the attention of regulators. Although clear and practical guidance from regulators remains elusive, regulator...more

House Financial Services Committee Holds Hearing on the Financial CHOICE Act of 2017

by Morrison & Foerster LLP on

On April 26, 2017, the Financial Services Committee of the U.S. House of Representatives held a hearing entitled "A Legislative Proposal to Create Hope and Opportunity for Investors, Consumers, and Entrepreneurs." The purpose...more

Energy Alert: The Court of Appeal Upholds the Redwater Decision

by Field Law on

Field Law’s Energy Group continues to follow developments regarding the Redwater Energy case. This Energy Alert summarizes the Alberta Court of Appeal’s recent decision on the matter. ...more

2016 Could Be Peak SEC

2016 was a high-water mark for SEC enforcement activity; however, with the uncertainties associated with the new administration’s enforcement regime, we could be seeing a downturn going forward. According to a recent report...more

HUD Resolves Allegations of Discrimination Against California Lenders

by Goodwin on

?On April 19, the U.S. Department of Housing and Urban Development (HUD) announced that it had entered an agreement with a group of California mortgage lenders to resolve allegations that they discriminated against a mortgage...more

Recent MRB Administrative Actions Highlight that Minutiae Matters to HUD

by Ballard Spahr LLP on

On April 4, 2017, the Mortgagee Review Board (MRB) of the U.S. Department for Housing and Urban Development (HUD) published an entry in the Federal Register titled "Mortgagee Review Board: Administrative Actions." The entry...more

Richard Cordray’s tenure as CFPB Director is uncertain

by Ballard Spahr LLP on

Clients are always asking me and others in our Consumer Financial Services Group about how long Richard Cordray will remain as CFPB Director. The short answer is nobody knows, perhaps not even Richard Cordray. ...more

US Commodity Futures Trading Commission Appoints Head of Enforcement and New Chief Market Intelligence Officer

by Shearman & Sterling LLP on

US Commodity Futures Trading Commission Acting Chairman J. Christopher Giancarlo announced the appointment of federal prosecutor James McDonald as the agency’s new Director of Enforcement. Mr. McDonald, who was most recently...more

US Commodity Futures Trading Commission Appoints First Chief Market Intelligence Officer

by Shearman & Sterling LLP on

The US Commodity Futures Trading Commission announced that Andrew B. Busch had been named the CFTC’s first Chief Market Intelligence Officer...more

Departing Federal Reserve Governor Tarullo Gives Speech Supporting Strong Capital Requirements and Criticizing the Volcker Rule

by Shearman & Sterling LLP on

Daniel Tarullo’s resignation from the US Federal Reserve Board became effective, and he was succeeded by Governor Powell as the Chairman of the Board of Governors’ Committee on Supervision and Regulation...more

US Comptroller of the Currency Discusses Fintech

by Shearman & Sterling LLP on

US Comptroller of the Currency Thomas Curry provided remarks describing actions the OCC has taken to meet the needs of all types of consumers, businesses and communities in the US. Specifically, he described a new department...more

Circuits Split Over Constitutionality of SEC’s Administrative Law Judges

by Carlton Fields on

The Tenth Circuit Court of Appeals, in Bandimere v. SEC, recently held that the SEC’s administrative law judges (ALJs) are “inferior officers” whose appointments violate the Appointments Clause of the U.S. Constitution...more

Financial Regulatory Agenda for 2017 and onwards

by DLA Piper on

We bring to you the Financial Regulatory Agenda for 2017 and onwards in the Netherlands and in Europe. Download and keep up to date with the most important dates. Please see full Calendar below for more information....more

DOL Finalizes Delay of Fiduciary Rule

by Tucker Arensberg, P.C. on

The DOL has finalized regulations extending the applicability date from April 10 to June 9, 2017, for the new “Fiduciary Rule,” which defines who is a fiduciary under ERISA and the tax code. The new regulations will be...more

Let's Talk Municipal Finance - Issuing Bonds

by PretiFlaherty on

In my previous installment, I discussed several financing alternatives available to municipalities and certain other governmental entities to supplement revenues from their tax base or user fees. One common option is the...more

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