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Davis Wright Tremaine LLP

Broker Dealer Regulatory Digest - April 2024 - 2

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Securities and Exchange Commission. Cryptocurrency regulation. On April 23, 2024, two groups representing the cryptocurrency industry sued SEC over its expanded dealer definition announced earlier this year. The Blockchain...more

Polsinelli

New DOL Settlement Takes Aim at Indemnification for ESOP Fiduciaries

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On January 12, 2021, the United States Department of Labor (“DOL”) entered into a consent order with another fiduciary of an employee stock ownership plan (“ESOP”).  The consent order in Scalia v. Professional Fiduciary...more

Cozen O'Connor

Credit Score Use Without Notice | Financing Bad Landlord Behavior | § 340B Mandated Pharma Discounts

Cozen O'Connor on

COVID-19- Defunct Travel Agency To Refund Travelers Who Paid Twice for Their Lodgings- Massachusetts AG Maura Healey reached a settlement with online travel agency BookIt Operating LLC d/b/a BookIt.com and its CEO...more

Goodwin

ISS Publishes 2021 Proxy Voting Guidelines

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In the News. Institutional Shareholder Services (ISS) published its proxy voting guidelines updates for 2021, which include new and updated voting recommendations on federal forum and exclusive forum provisions in companies’...more

Goodwin

SEC Adopts Broad Exempt Offering Reforms

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In the News. The Securities and Exchange Commission (SEC) adopted broad exempt offering reforms; the Department of Labor (DOL) finalized a rule, with significant revisions from the original proposal, on ESG investments; the...more

Goodwin

Financial Services Weekly News - February 2019

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Editor's Note - In This Issue. The Board of Governors of the Federal Reserve System (Federal Reserve) released 2019 stress test scenarios and exempted less complex banks with between $100 billion and $250 billion in assets...more

Goodwin

Financial Services Weekly News - June 2017 #2

Goodwin on

Editor's Note - Financial Regulatory Reform Picks Up Speed. The Trump administration, which views burdensome and costly regulation as a significant impediment to lending and economic growth, has consistently maintained...more

Goodwin

Financial Services Weekly News Roundup - July 2015 #2

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Regulatory Developments - Agencies Post Public Sections of Resolution Plans: In a July 6 joint press release, the Federal Reserve Board and FDIC announced that they have posted the public portions of annual...more

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