News & Analysis as of

Basel III Securities & Exchange Commission

Financial Services Weekly News - August 2017 #4

by Goodwin on

Editor's Note - DOJ Emphatically Ends Operation Chokepoint. After four years, the Department of Justice (DOJ) announced the formal end of its controversial Operation Chokepoint initiative. Launched in 2013, Operation...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

Four criminal securities cases moved to or toward resolution over the past week. The jury in the Martin Shkreli trial returned a verdict of guilty on three counts and not guilty on five others at the end of last week....more

SEC Disclosure Trends Related to Brexit and the Trump Administration

The Brexit vote and President Donald Trump’s election and proposed regulatory and other reforms have led to worldwide geopolitical uncertainty. We expect reporting companies will continue to disclose risk factors relating to...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

"Recent Bills to Amend Dodd-Frank Preview Coming Attractions in Post-Election Congress"

Recently introduced legislation suggests that Republicans and Democrats in post-election Congress will be looking in very different directions on how to amend the Dodd-Frank Wall Street Reform and Consumer Protection Act...more

Details Emerge about the Financial CHOICE Act

by K&L Gates LLP on

On June 15, 2016, House Financial Services Committee Chairman Jeb Hensarling (R-TX) released a more detailed summary of the Financial CHOICE Act (“FCA”), a proposal to revisit the Dodd-Frank Wall Street Reform and Consumer...more

The Financial CHOICE Act; Dodd-Frank Reform (Not Repeal)

by K&L Gates LLP on

On June 7, 2016, House Financial Services Committee Chairman Jeb Hensarling (R-TX) released an executive summary of the Financial CHOICE Act (the “FCA”), his highly anticipated bill to revisit the Dodd-Frank Wall Street...more

The Financial Report - Volume 5, No. 11 • June 2016 (Global)

by DLA Piper on

Discussion and Analysis - A few years ago, David Blass, then Chief Counsel of the SEC’s Division of Trading and Markets, created a stir when he said in a speech that private fund advisers should be concerned about some...more

Bridging the Week - September 2015 #2

CFTC Says Virtual Currencies Are a “Commodity” Under Federal Law, Files Charges Against Coinflip for Operating an Unregistered Bitcoin Options Trading Platform - The Commodity Futures Trading Commission filed and...more

The Financial Report - Volume 14, No. 18 - September 2015 (Global)

by DLA Piper on

Casino games are designed with a house advantage. Mathematically, the house advantage is a measure of how much the house expects to win, expressed as a percentage of the player’s wager. The house advantage is the difference...more

Financial Regulatory Developments Focus - June 2015 #2

by Shearman & Sterling LLP on

In This Issue: - Federal Banking Agencies Release Statement on Annual Stress Tests at Medium-Sized Financial Companies - Extension of Transitional Provisions for Exposures to CCPs Formally Announced -...more

CrunchedCredit.com’s 5th Annual Golden Turkey Awards

by Dechert LLP on

This is our fifth annual Golden Turkey Awards at CrunchedCredit. It just gets easier and easier. There are simply so many worthy contenders for an award this year. You know, we don’t stop and take a moment often enough to...more

Liquidity Coverage Ratio Rule: Birds Gotta Fly, Fish Gotta Swim…and Regulators Gotta Regulate

by Dechert LLP on

With apologies to Jerome Kern and Oscar Hammerstein, and in the afterglow of a relatively amiable final AB Rule, we are reminded this week that our business remains hogtied to a regulatory establishment that can’t seem to...more

Orrick's Financial Industry Week in Review

Amendments to Offshore Fund Rules to Reflect Finance Act 2014 AIFM Partnership Tax Changes - Regulations amending the Offshore Funds Regulations 2009 (the 2009 Regulations) to reflect the Finance Act 2014 changes to...more

SEC Proposes Enhanced Regulatory Framework for Certain Registered Clearing Agencies

by Morgan Lewis on

The proposal is consistent with international recommendations and Basel III criteria. On March 12, the Securities and Exchange Commission (SEC) proposed new rules and rule amendments (the Proposal) that would enhance...more

Financial Services Bulletin: Action At Federal Agencies

by Perkins Coie on

SEC Proposes Crowdfunding Rules - On Wednesday, October 23, 2013, the Securities and Exchange Commission (the "SEC") voted unanimously to propose rules to permit companies to offer and sell securities through...more

The Financial Report - Volume 2, No. 18 • October 10, 2013 (Global)

by DLA Piper on

IN THIS ISSUE: - Discussion and Analysis - News from the Americas - News from Asia and the Pacific - News from Europe - Global Regulators - US Securities and Exchange Commission Developments - US Commodity...more

The Financial Report - Volume 2, No. 16 • September 12, 2013

by DLA Piper on

Discussion and Analysis - No doubt about it. The machines have taken over. Wednesday’s issue of The Wall Street Journal reports that automakers are focusing their efforts on developing self-driving automobiles....more

Dodd-Frank News: July 2013: Dodd-Frank Wall Street Reform And Consumer Protection Act Update

by Burr & Forman on

In This Issue: - Recent Cases ..Dodd-Frank Act Amendments to RESPA ..Amendments to Preemption Standards ..Whistleblower Protection ..SEC Final Rule Pursuant to Dodd-Frank Act Vacated ...more

Basel III Implementation in the U.S.

On July 2, the Fed finalized a rule to implement Basel III in the U.S. ...more

Corporate and Financial Weekly Digest - July 12, 2013

In this issue: - SEC Adopts and Proposes New Rules, Including Easing the Prohibition on General Solicitation - District Court Vacates SEC’s Resource Extraction Issuer Rule - SEC Announces Three New...more

Financial Services Bulletin: Action At The SEC, FRB, FDIC, And OCC

by Perkins Coie on

The SEC Adopts First JOBS Act Rules - On Wednesday, July 10, 2013, the Securities and Exchange Commission (the “SEC”) adopted amendments to Rule 506 of Regulation D and Rule 144A under the Securities Act of 1933 to...more

Financial Services Bulletin: Action At The FRB

by Perkins Coie on

The FRB Issues Final Basel III Capital Reform Rule - On Tuesday, July 2, 2013, the Federal Reserve Board (the “FRB”), in coordination with the Federal Deposit Insurance Corporation (the “FDIC”) and the Office of the...more

Financial Services Legislative And Regulatory Update -- February 25‚ 2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - With both the House and Senate on recess this past week, the President...more

Skadden's 2013 Insights: Financial Regulation

In the U.S., Europe and Asia, 2012 saw measured progress in the implementation of recent regulatory reforms, the Basel capital rules, the deleveraging of the financial services firms and deliberations about the role of...more

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