Payment for Order Flow (PFOF) and Gamification: Your Questions Answered
Summer Enforcement Action Review; Raising Money in a Pandemic - Investment Management Roundtable Discussion
Investment Management and Private Funds Roundtable – June 2020
Videocast: Asset management regulation in 2020 videocast series – FinTech initiatives
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Videocast: Asset management regulation in 2020 videocast series – SEC enforcement
Videocast: Asset management regulation in 2020 videocast series – Complying with new SEC rules for broker-dealers
Investment Management Roundtable Discussion – Regulatory and Enforcement Update
Regulation Best Interest Videocast Series: Establishing An Investment Platform Post-Regulation BI
Investment Management Update - Focus on Data Privacy and Cybersecurity
August 9, 2024 - The U.S. Department of the Treasury, Federal Reserve Board, Federal Deposit Insurance Corporation, Office of the Comptroller of the Currency, Securities and Exchange Commission, Commodity Futures Trading...more
Editor's Note The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency, specifically...more
April 17, 2024- The U.S. Department of the Treasury released Treasury International Capital (TIC) data for February 2024. April 17, 2024- The Federal Reserve Bank of New York published a Liberty Street Economics blog...more
March 12, 2024 - The U.S. Senate Committee on Banking, Housing, and Urban Affairs held a hearing entitled, "Examining Proposals to Address Housing Affordability, Availability, and Other Community Needs."...more
February 26, 2024- The Office of Inspector General of the Federal Reserve Board published a report entitled, "Results of Security Control Testing of the Board's Projection Collection System."...more
January 30, 2024- The U.S. House Committee on Financial Services Subcommittee on National Security, Illicit Finance, and International Financial Institutions held a hearing entitled, "Better Investment Barriers:...more
January 24, 2024- The Federal Reserve Board ("FRB") announced that the Bank Term Funding Program, where the FRB purchased government bonds at par, will cease making new loans as scheduled on March 11, 2024, ending a key...more
January 11, 2024- U.S. House Committee on Financial Services Chair Patrick McHenry (NC-10) and Ranking Member Maxine Waters (CA-43) announced the formation of the Committee's bipartisan Working Group on Artificial...more
December 15, 2023- U.S. Senate Committee on Baking, Housing, and Urban Affairs Chair Senator Sherrod Brown (D-OH), along with Senators John Kennedy (R-LA), Bob Casey (D-PA), Chris Van Hollen (D-MD), Mike Braun (R-IN), and...more
November 16, 2023- The Federal Deposit Insurance Corporation Board of Directors approved a final rule to implement a special assessment to recover the loss to the Deposit Insurance Fund (DIF) associated with protecting...more
October 16, 2023- The U.S. Department of the Treasury and the Cyber Security Council of the United Arab Emirates announced the finalization of a bilateral Memorandum of Understanding on Cybersecurity Cooperation during a...more
October 5, 2023- The Federal Deposit Insurance Corporation Board of Directors approved a Notice of Proposed Rulemaking on Proposed Guidelines Establishing Standards for Corporate Governance and Risk Management for Covered...more
August 31, 2023- The U.S. Department of the Treasury posted the preliminary data from an annual survey of U.S. portfolio holdings of foreign securities at year-end 2022. August 31, 2023- The Federal Reserve Board...more
Federal Reserve Board- Results of 2023 bank Stress Test Released- The Board of Governors of the Federal Reserve Board (Federal Reserve) released the results of its annual stress test, documenting that the nation's...more
May 15, 2023- U.S. Senator Sherrod Brown (D-OH), Chairman of the Senate Banking, Housing, and Urban Affairs Committee, and Congresswoman Maxine Waters (D-CA-43), Ranking Member of the House Financial Services Committee, led...more
April 12, 2023- Federal Deposit Insurance Corporation (FDIC) Vice Chairman Travis Hill delivered a policy address at a forum hosted by the Bipartisan Policy Center in Washington, DC on recent bank failures. Vice Chairman...more
April 5, 2023- The U.S. Department of the Treasury's Office of Foreign Assets Control took action to designate Genesis Market, for its part in the theft and sale of device credentials and related sensitive information....more
March 30, 2023- The Consumer Financial Protection Bureau (CFPB) has finalized a rule required by Congress to increase transparency in small business lending, promote economic development, and combat unlawful discrimination....more
March 15, 2023- Chairman Roger Williams (R-TX) issued a regarding the Small Business Administration's decision to end the collection on purchased Paycheck Protection Program loans with an outstanding balance of $100,000 or...more
February 23, 2023- The Federal Reserve Board, Federal Deposit Corporation, and Office of the Comptroller of the Currency issued a joint statement highlighting liquidity risks to banking organizations associated with certain...more
January 13, 2023- U.S. Secretary of the Treasury Janet L. Yellen sent a letter to all members of Congressional leadership regarding the debt limit. January 13, 2023- The UK-U.S. Financial Regulatory Working Group issued a...more
December 15, 2022- The New York State Department of Financial Services released Guidance to banking organizations regulated by the NYDFS that wish to engage in virtual currency-related activities....more
November 17, 2022- The Federal Reserve Board published a paper entitled, "Sentiment in Bank Examination Reports and Bank Outcomes."...more
October 14, 2022- Top officials representing ministries of finance and other government agencies from 33 countries met at the U.S. Department of the Treasury to discuss the effects of international sanctions and export...more
August 10, 2022- The Consumer Financial Protection Bureau issued an interpretive rule laying out when digital marketing providers for financial firms must comply with federal consumer financial protection law....more