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Executive Orders Financial Industry Regulatory Authority (FINRA)

Goodwin

Is the SEC’s Expansion of the “Exchange” and “Dealer” Definitions Part of the Agency’s Crypto and DeFi Strategy?

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In March 2022, the U.S. Securities and Exchange Commission proposed rules that would greatly expand the Exchange Act definition of “dealer” and essentially kill the distinction between dealers and traders long-recognized by...more

Akin Gump Strauss Hauer & Feld LLP

2018 Political Law Update

As we enter the new year, there are new changes in state and federal lobbying, gift and campaign finance laws. California: In September, Gov. Jerry Brown signed new campaign finance laws that require political committees...more

Stinson - Corporate & Securities Law Blog

Treasury Issues Plan to Streamline Capital Markets Regulation

Pursuant to Executive Order 13772, the Treasury Department has issued a report that identifies laws, treaties, regulations, guidance, reporting and record keeping requirements, and other government policies that promote or...more

Goodwin

Financial Services Weekly News - April 2017 #4

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Editor's Note - State Regulators Sue OCC Over Federal FinTech Charter. On April 26, the Conference of State Bank Supervisors (CSBS) sued the Office of the Comptroller of the Currency (OCC) in the U.S. District Court for...more

Goodwin

Financial Services Weekly News - February 2015 #2

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Regulatory Developments - CFPB Announces Steps to Improve Checking Account Access - On Feb. 3, the CFPB announced that it was taking three steps to expand checking account access to the approximately 10 million...more

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