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OCC Reconsiders Controversial Revisions to CRA Rules

In This Issue. The Office of the Comptroller of the Currency (OCC) announced that it will reconsider its controversial June 2020 final rule revising its Community Reinvestment Act (CRA) rules, and published its Semiannual...more

Financial Services Weekly News: SEC Amends FINRA IPO Allocations Rules

In This Issue. The Securities and Exchange Commission (SEC) approved amendments to the Financial Industry Regulatory Authority’s (FINRA) initial public offering (IPO) allocations rules, expanding the exemptions and exclusions...more

Financial Services Weekly News: SEC Modernizes ETF Regulation, Issues Guidance on Performance and Fee Disclosures

In This Issue. The Securities and Exchange Commission (SEC) adopted a rule permitting most exchange-traded funds that satisfy a set of standardized conditions to operate without the expense and delay of obtaining exemptive...more

Financial Services Weekly News: Preparing for ‘Hard Brexit’

Editor's Note - In This Issue. The U.S. Securities and Exchange Commission’s (SEC) Division of Investment Management staff announced plans to seek industry input on custodial practices relating to trading that is not...more

Financial Services Weekly News - February 2019 #3

Editor's Note - Good News, Bad News. Key developments in federal securities laws have recently brought both good news and bad news for current and prospective public companies. First, the Securities and Exchange Commission...more

Financial Services Weekly News - February 2019

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

Financial Services Weekly News - January 2019 #3

Editor's Note - The Legacy of the Government Shutdown Lives On. The federal government shutdown is finally over, at least temporarily. However, its legacy lives on as federal financial regulators must now deal with the...more

Financial Services Weekly News - January 2019

Editor's Note - When will the government shutdown end? The government shutdown has forced many federal agencies, including those mentioned in the articles below, to operate in accordance with the agency's emergency plan for...more

Financial Services Weekly News - December 2018 #3

Editor's Note - In This Issue. Federal financial regulators issues a proposed rule exempting community banks from the Volcker Rule; the Federal Deposit Insurance Corporation (FDIC) issued a notice of proposed rulemaking...more

Financial Services Weekly News - December 2018 #2

Editor's Note - Everything You Wanted to Know About De Novo Bank Formations But Were Afraid to Ask. For several years under two different chairs, the Federal Deposit Insurance Corporation (FDIC) has been publicly stating...more

Financial Services Weekly Roundup - September 2018 #2

In This Issue. The Securities and Exchange Commission (SEC) withdrew interpretive guidance pertaining to reliance on voting recommendations of proxy advisory firms in advance of their upcoming Roundtable on the U.S. proxy...more

Financial Services Weekly Roundup - June 2018 #2

Editor's Note - In This Issue. The Securities and Exchange Commission (SEC) issued a no-action letter that closes the gap in investor protection created by the SEC’s approval of FINRA Rule 2165; the SEC’s Investment...more

Financial Services Weekly News - June 2018

Editor's Note - Proposed Volcker Rule Amendments Reduce Burden on Community Banks and Banks With Limited Trading Activities. Last week and earlier this week, all five federal financial regulators with jurisdiction over the...more

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