Elections & Politics Finance & Banking Securities

Read need-to-know updates, commentary, and analysis on Elections & Politics issues written by leading professionals.
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New Executive Order Directs Federal Agencies to Trim The Fat

Seyfarth Synopsis: President Trump’s executive order directs all federal agencies to point out where they can be trimmed down to meet his proposed budget. On Monday, March 13, President Trump signed Executive Order 13781...more

Senate Banking Committee Focused on Deregulation

On March 9, 2017, the Senate Banking Committee passed a series of four bills focused on deregulation, including one that would make it easier for privately held companies to issue stock awards through equity compensation...more

Is it Time to Streamline Financial Regulation?

A March 13, 2017 presidential order requiring a comprehensive plan to reorganize the executive branch could be the first step toward streamlining the financial regulatory structure. The Executive Order requires the...more

Acting (and Potentially Permanent) CFTC Chairman Warns of “Aggressive and Assertive Enforcement Action by the CFTC Under the Trump...

In remarks before the International Futures Industry Conference, Acting Chairman J. Christopher Giancarlo—who was just nominated by President Trump to be permanent Chairman—talked about the future of the Commodity Futures...more

Janet Yellen And The Fed Make It Happen – Interest Rate Hike – US Stock Markets Like It

As expected and reported on the blog last week, Fed Chair Janet Yellen and her team raised the Fed’s key interest rate by 0.25 percentage point today. While it’s the third time that the Fed has increased rates since the...more

SEC Pick’s Banking Ties Are an Asset

Despite consternation from some quarters, Jay Clayton’s experience representing Wall Street firms and other public companies is an asset not a liability for the Securities and Exchange Commission. When President Donald...more

Legislative Proposal Addresses Use of Blockchain Technology by Delaware Corporations

The Corporate Council of The Corporation Law Section of the Delaware State Bar Association has prepared proposed amendments to the Delaware General Corporation Law to facilitate the use of block chain technology for...more

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

UK Supreme Court Rules UK Parliament Must Approve Brexit Notice to EU - Under Article 50 of the EU Treaty, the process for the UK to leave the EU is commenced by service of a notice on the European Council, which starts...more

DOL Proposes to Delay Fiduciary Advice Rule, Requests Comments on Delay and on Costs, Benefits of the Rule

On March 2, the US Department of Labor (DOL) published a proposed extension (the "Proposal") of the effective date of what is commonly referred to as the "fiduciary rule" or the "fiduciary advice rule" (the "Rule"). The Rule...more

UK Must Get to Grips with Brexit and MiFID II

Asset Managers Face Some Difficult Decisions - 2017 is proving to be a stressful and costly year for asset managers. The terms of the UK’s exit from the EU will continue to be the subject of extensive debate, both...more

Your Daily Dose of Financial News

We now know what all of that law-enforcement activity around Caterpillar HQ in past weeks. A government report out this week reveals that investigators are targeting CAT for tax and accounting fraud, though no charges have...more

Questions & Answers on State and Local Variations on the SEC Pay-to-Play Rule

Many states and municipalities have adopted laws and regulations that affect how investment managers may solicit investment advisory business, including investment in sponsored public and private funds, from the state...more

Signs, Signs, Everywhere a Sign: Changes in Store for SEC Enforcement under the Trump Administration

Even before President Trump’s nomination of Jay Clayton as the next Chairman of the Securities and Exchange Commission (“SEC” or “Commission”), signs have been appearing that changes are afoot within the Division of...more

Regulation D Battlefield Heating Up as Acting Chairman Piwowar Suggests Doing Away with Concept of Accredited Investors

On the same day that President Trump signed an Executive Order instructing federal agencies to create task forces designed to identify regulations for potential elimination, Michael Piwowar, Acting-Chairman of the Securities...more

In Case You Missed It - Interesting Items for Corporate Counsel - January 2017

The SEC published a white paper about Regulation A+, What Do We Know So Far?, here. Since changes to Regulation A in June 2015, there have been 147 Regulation A offerings, seeking $2.6 billion, that have raised about $190...more

"DOL Proposes Delay of Fiduciary Rule Applicability Date"

The Department of Labor (DOL) today announced a proposed 60-day delay of the April 10, 2017, applicability date of its conflicts of interest regulation (the so-called fiduciary rule) and related prohibited transaction...more

IPO Market for Closed-End Funds Poised for Serious Rebound

It’s clear to anyone paying attention that the market for initial public offerings of closed-end funds has fallen off dramatically over the last few years. Undoubtedly, the primary cause of this fall off has been the gaping...more

Review of Dodd-Frank: Another Ride on the Regulatory Roller-Coaster?

The recent Executive Order seeking to curtail financial regulation put in place in the wake of the 2008 financial crisis will undoubtedly have widespread implications for credit unions. Such regulation – notably the...more

SEC Whistleblower Program May Be Facing Congressional Cutback

According to a memo circulating amongst Republican-party leaders as of February 13th, Republicans in the House of Representatives are planning to propose a significant curtailment of the U.S. Securities and Exchange...more

Banking & Financial Services E-Note - February 2017

The White House clarified that Trump’s January 30 “two for one” Executive Order doesn’t apply to the SEC and other independent regulatory agencies, Reuters reported. Despite press coverage, the Order doesn’t actually require...more

One Step Forward, Two Steps Back?

Market participants who are not enamored by the current state of federal securities regulation may have been heartened by the new administration’s January 30, 2017 “two for one” order. The order contemplated that, for each...more

UPDATE: Continued Regulatory Focus on US Political Contributions

Recent actions by financial industry regulators, including the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority, Inc. (“FINRA”), and the Municipal Securities Rulemaking Board (“MSRB”),...more

A Rule Deferred: Department of Labor Delays Implementation of Fiduciary Rule

As we previously discussed in our May 19, 2016 SW Benefits Update, the Department of Labor (the “Department”) previously issued final regulations on fiduciary conflicts of interest in retirement programs. The rules, which...more

Uncertain Times

President Donald Trump may have his sights set on deregulation but a full repeal of title VII looks unlikely - One might think that the stated intention of US president-elect Donald Trump and Republicans in the US...more

SEC 2017 Exam Priorities: Key Takeaways

Amid the extensive list of exam priorities for this year, there are several highlights that will require attention from operations personnel - Far from the White House and the halls of Congress, compliance officers are...more

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