Regulatory Developments -
FDIC Publishes Consumer Compliance Supervisory Highlights -
On April 5, the FDIC published its latest edition of Consumer Compliance Supervisory Highlights (the Highlights). This edition of...more
4/17/2023
/ Abusiveness Standard ,
Banks ,
Compliance ,
Consumer Financial Protection Bureau (CFPB) ,
Cybersecurity ,
Data Collection ,
Deposit Insurance ,
FDIC ,
Final Rules ,
Financial Industry Regulatory Authority (FINRA) ,
Remote Working ,
Securities and Exchange Commission (SEC) ,
Silicon Valley ,
Small Business ,
Split of Authority ,
Supervision
On February 1, 2023, the New York State Department of Financial Services (DFS) adopted final regulations relating to New York’s Commercial Finance Disclosure Law (CFDL), which requires providers of commercial financing,...more
Regulatory Developments -
FinCEN Issues NPRM Regarding Access to Beneficial Ownership Information and Related Safeguards -
On December 15, FinCEN issued a Notice of Proposed Rulemaking (NPRM) that would implement...more
1/18/2023
/ 10b5-1 Plans ,
Anti-Money Laundering ,
Beneficial Owner ,
Community Reinvestment Act ,
Compliance ,
Consumer Financial Protection Bureau (CFPB) ,
Corporate Transparency Act ,
FDIC ,
Federal Reserve ,
Final Rules ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
FinCEN ,
Interest Rates ,
Libor ,
New Guidance ,
Nonbank Firms ,
NPRM ,
Regulation O ,
Regulation Z ,
Relief Measures ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Small Banks ,
Threshold Requirements ,
Time Extensions
In This Issue. The Consumer Financial Protection Bureau (CFPB) announced a new initiative focused on financial issues faced by rural communities and also updated its examination procedures to cover unfair discrimination; the...more
3/18/2022
/ Abusive Acts ,
Agricultural Sector ,
Annual Reports ,
Banking Sector ,
Biden Administration ,
Blockchain ,
Broker-Dealer ,
Consumer Financial Products ,
Consumer Financial Protection Bureau (CFPB) ,
Cryptocurrency ,
Cyber Incident Reporting ,
Cybersecurity ,
Digital Assets ,
Disclosure Requirements ,
Division of Trading and Markets ,
Examination Procedures ,
Executive Orders ,
Exemptions ,
FDIC ,
Final Rules ,
Financial Institutions ,
Financial Markets ,
Financial Services Industry ,
Insured Depository Institutions ,
Investors ,
Manufactured Housing ,
OCC ,
Proposed Rules ,
Publicly-Traded Companies ,
Reporting Requirements ,
Risk Management ,
Risk Mitigation ,
Rural Areas ,
Securities and Exchange Commission (SEC) ,
Stress Tests ,
Suspicious Activity Reports (SARs) ,
Time Extensions ,
UDAAP ,
Unfair or Deceptive Trade Practices
In This Issue. The U.S. Securities and Exchange Commission (SEC) proposed a new rule to increase market transparency regarding short selling and extended the comment period for its proposed rule requiring reporting on...more
3/4/2022
/ Annual Percentage Rate (APR) ,
Banking Sector ,
Bias ,
Borrowers ,
Comment Period ,
Community Reinvestment Act ,
Consumer Financial Protection Bureau (CFPB) ,
Cyber Attacks ,
Cyber Threats ,
Cybersecurity ,
Disclosure Requirements ,
Federal Reserve ,
Final Rules ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Services Industry ,
Form CRS ,
Interest Rates ,
Lenders ,
Loan Forgiveness ,
Loan Servicer ,
OCC ,
Property Valuation ,
Proposed Rules ,
Public Comment ,
Public Service Loan Forgiveness program (PSLF program) ,
Regulation Best Interest ,
Regulation SHO ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Short Sales ,
Short Selling ,
Student Loans
In This Issue. The Financial Crimes Enforcement Network (FinCEN) issued a proposed rule about the establishment of a limited-duration pilot program for sharing suspicious activity reports (SARs); FinCEN published the final...more
1/28/2022
/ Borrowers ,
Broker-Dealer ,
Civil Monetary Penalty ,
Comment Period ,
Consumer Financial Protection Bureau (CFPB) ,
Cross-Border ,
Deposit Insurance ,
Disclosure Requirements ,
Division of Investment Management ,
European Securities and Markets Authority (ESMA) ,
Examination Procedures ,
FDIC ,
Final Rules ,
Financial Institutions ,
Financial Services Industry ,
FinCEN ,
Fund Distribution ,
Inflation Adjustments ,
Investors ,
Irrevocable Trusts ,
Lenders ,
Marketing ,
Mortgage Servicers ,
New Rules ,
Notice of Proposed Rulemaking (NOPR) ,
Pilot Programs ,
Proposed Rules ,
Public Comment ,
Reporting Requirements ,
Revocable Trusts ,
Securities and Exchange Commission (SEC) ,
Student Loans ,
Suspicious Activity Reports (SARs)
In This Issue. The U.S. Securities and Exchange Commission (SEC) voted to propose money market fund reforms; the SEC also proposed amendments to Rule 10b5-1 trading plans and to modernize and improve share repurchase...more
12/17/2021
/ 10b5-1 Plans ,
AML/CFT ,
Bank Secrecy Act ,
Banking Sector ,
Chief Compliance Officers ,
Comment Period ,
Community Reinvestment Act ,
Consumer Financial Protection Bureau (CFPB) ,
Disclosure Requirements ,
Electronic Fund Transfer Act ,
Federal Reserve ,
Final Rules ,
Financial Regulatory Reform ,
Financial Services Industry ,
FinCEN ,
Insider Trading ,
Investment Company Act of 1940 ,
Investment Funds ,
Money Market Funds ,
OCC ,
Policies and Procedures ,
Proposed Amendments ,
Proposed Rules ,
Public Comment ,
Regulation E ,
Regulatory Agenda ,
Reporting Requirements ,
Request For Information ,
Risk Management ,
Rule 2a-7 ,
Rulemaking Process ,
SBS Entities ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Security-Based Swaps ,
Stock Repurchases ,
Swap Dealers ,
Trading Plans
In This Issue. The Financial Crimes Enforcement Network (FinCEN) announced (1) a notice of proposed rulemaking for beneficial ownership information reporting requirements and (2) a regulatory process for new real estate...more
12/10/2021
/ Advanced Notice of Proposed Rulemaking (ANPRM) ,
Amended Rules ,
Anti-Money Laundering ,
Bank Secrecy Act ,
Banking Sector ,
Beneficial Owner ,
Broker-Dealer ,
BSA/AML ,
CFTC ,
Comment Period ,
Continuing Education ,
Coronavirus/COVID-19 ,
Corporate Transparency Act ,
FDIC ,
FFIEC ,
Final Rules ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
FinCEN ,
Foreign Corporations ,
Libor ,
Notice of Proposed Rulemaking (NOPR) ,
OCC ,
Proposed Rules ,
Public Comment ,
Real Estate Transactions ,
Recordkeeping Requirements ,
Registration Requirement ,
Regulation Z ,
Reporting Requirements ,
Secured Overnight Funding Rate (SOFR) ,
Securities and Exchange Commission (SEC)
In This Issue. The Treasury Department’s Financial Stability Oversight Council (FSOC) issued a report acknowledging climate change as threat to financial stability; Federal Reserve Governor Michelle Bowman advocates for...more
10/29/2021
/ Banking Sector ,
Climate Change ,
Community Banks ,
Community Reinvestment Act ,
Consumer Financial Protection Bureau (CFPB) ,
ETFs ,
Federal Reserve ,
Final Rules ,
Financial Services Industry ,
FSOC ,
Mutual Funds ,
OCC ,
Payment Systems ,
Regulation Z ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
U.S. Treasury
In This Issue. The Consumer Financial Protection Bureau (CFPB) released a new Compliance Aid; the U.S. Securities and Exchange Commission (SEC) proposed amendments to Form N-PX with the goal of making it easier and more...more
10/11/2021
/ Collection Agencies ,
Comment Period ,
Consumer Financial Protection Bureau (CFPB) ,
Debt Collection ,
Debt Collectors ,
Debtors ,
Disclosure Requirements ,
FDCPA ,
Federal Reserve ,
Final Rules ,
Financial Services Industry ,
International Organization for Standardization ,
Investment Companies ,
Investment Funds ,
Investment Management ,
Investors ,
Proposed Amendments ,
Proxy Voting ,
Public Comment ,
Regulation F ,
Securities and Exchange Commission (SEC)
In This Issue. The Consumer Financial Protection Bureau (CFPB) withdrew its proposal to delay the Debt Collection Final Rules; the Board of Governors of the Federal Reserve System (FRB), the Federal Deposit Insurance...more
9/17/2021
/ Banking Sector ,
Banks ,
Broker-Dealer ,
Comment Period ,
Community Banks ,
Community Reinvestment Act ,
Consumer Financial Protection Bureau (CFPB) ,
Debt Collection ,
Debt Collectors ,
Digital Platforms ,
Due Diligence ,
FDIC ,
Federal Reserve ,
Final Rules ,
Financial Services Industry ,
FinTech ,
FRB ,
Investment Adviser ,
Investment Companies ,
Investment Company Act of 1940 ,
OCC ,
Proposed Rules ,
Public Comment ,
Regulation F ,
Retail Investors ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Third-Party Risk
In This Issue. The federal bank regulators published frequently asked questions concerning the London Interbank Offered Rate transition; the Consumer Financial Protection Bureau (CFPB) confirmed an effective date for two...more
8/6/2021
/ Annual Meeting ,
Banking Sector ,
Breach of Duty ,
Broker-Dealer ,
Capital Rules ,
Comment Period ,
Comptroller ,
Consumer Financial Protection Bureau (CFPB) ,
Debt Collection ,
Debtors ,
FDCPA ,
FDIC ,
Federal Reserve ,
FedNow ,
Fiduciary Duty ,
Final Rules ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Inter-Bank Offered Rates (IBORs) ,
Investment Adviser ,
Investment Company Act of 1940 ,
Investment Firms ,
Investors ,
Libor ,
OCC ,
Proposed Rules ,
Public Comment ,
Rulemaking Process ,
Section 36(b) ,
Securities and Exchange Commission (SEC)
In This Issue. The House of Representatives voted to pass a Congressional Review Act resolution repealing the Office of the Comptroller of the Currency’s (OCC) “true lender” rule; the Consumer Financial Protection Bureau...more
7/28/2021
/ AML/CFT ,
Annual Reports ,
Anti-Money Laundering ,
Arkansas Teacher Retirement System v Goldman Sachs Group ,
Bank Secrecy Act ,
Banking Sector ,
Basic v Levinson ,
Borrowers ,
BSA/AML ,
Burden of Persuasion ,
Burden of Proof ,
Certiorari ,
Class Action ,
Class Certification ,
Community Development ,
Community Reinvestment Act ,
Conflicts of Interest ,
Congressional Review Act ,
Consumer Financial Protection Bureau (CFPB) ,
Coronavirus/COVID-19 ,
Distressed Properties ,
FDIC ,
Federal Reserve ,
Final Rules ,
Financial Regulatory Agencies ,
Financial Services Industry ,
FinCEN ,
Forbearance Agreements ,
Foreclosure ,
Goldman Sachs ,
Investors ,
Lenders ,
Loss Mitigation ,
Mortgage Lenders ,
Mortgage Servicers ,
Mortgages ,
No-Action Letters ,
OCC ,
Presumption of Reliance ,
Regulation X ,
Repeal ,
Rulemaking Process ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Litigation ,
Shareholders ,
True Lender ,
Underserved Locations
In This Issue. President Biden signed an executive order addressing climate-related financial risks; the Office of the Comptroller of the Currency (OCC) finalized a rule applicable to national banks and federal savings...more
5/27/2021
/ Banking Sector ,
Biden Administration ,
Call Reports ,
Climate Change ,
Coronavirus/COVID-19 ,
Environmental Social & Governance (ESG) ,
Executive Orders ,
FDIC ,
Federal Insurance Office ,
Federal Reserve ,
Federal Savings Associations ,
Final Rules ,
Financial Institutions ,
Financial Services Industry ,
FSOC ,
Governor Baker ,
Investment Funds ,
Masks ,
OCC ,
Proxy Voting ,
Re-Opening Guidelines ,
Secretary of the Treasury
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
5/21/2021
/ Artificial Intelligence ,
Banking Sector ,
Comment Period ,
Community Reinvestment Act ,
Consumer Financial Protection Bureau (CFPB) ,
Depository Institutions ,
Digital Assets ,
FDIC ,
Federal Savings Associations ,
Final Rules ,
Financial Institutions ,
Financial Services Industry ,
Lenders ,
OCC ,
Public Comment ,
Request For Information ,
Risk Management ,
TILA-RESPA Integrated Disclosure Rule (TRID)
In This Issue. The Office of the Comptroller of the Currency (OCC) granted preliminary conditional approval to a third cryptocurrency firm chartering a national trust bank; the Consumer Financial Protection Bureau (CFPB)...more
5/4/2021
/ American Rescue Plan Act of 2021 ,
Banking Sector ,
Closed-End Funds ,
COBRA ,
Consumer Financial Protection Bureau (CFPB) ,
Cryptocurrency ,
Depository Institutions ,
Final Rules ,
Income Taxes ,
Investment Funds ,
Investors ,
Mortgages ,
National Bank Charters ,
NYSE ,
OCC ,
Private Funds ,
Proposed Amendments ,
Proposed Rules ,
Public Comment ,
Qualified Mortgage Rule
In This Issue. President Biden signed a bill extending the Small Business Administration’s (SBA) Paycheck Protection Program (PPP) through May 31, 2021; the Consumer Financial Protection Bureau (CFPB) announced the rescission...more
4/2/2021
/ Artificial Intelligence ,
Automotive Industry ,
Biden Administration ,
Capital Requirements ,
Causation ,
Consumer Financial Products ,
Consumer Financial Protection Bureau (CFPB) ,
Coronavirus/COVID-19 ,
Dividends ,
Federal Reserve ,
Final Rules ,
Financial Institutions ,
Financial Regulatory Agencies ,
Financial Services Industry ,
Ford Motor ,
Ford Motor Co. v Bandemer ,
Ford Motor Co. v Montana Eighth Judicial District Court ,
Jurisdiction ,
Paycheck Protection Program (PPP) ,
Payday Lending Rule ,
Personal Jurisdiction ,
Policy Statement ,
SBA ,
SCOTUS ,
Share Buybacks ,
Small Dollar Lenders ,
Stress Tests ,
Supervisory Guidance
In this Issue. In one of its first acts after being installed on January 20, the Biden Administration issued a regulatory freeze on new agency rules that have been adopted but are not yet effective; in one of its final acts...more
1/29/2021
/ Anti-Money Laundering ,
Appeals ,
Banking Sector ,
Biden Administration ,
Borrowers ,
Carried Interest ,
Comment Period ,
Consumer Financial Products ,
Consumer Financial Protection Bureau (CFPB) ,
Cryptocurrency ,
Debt Relief ,
Debtors ,
Digital Assets ,
Enforcement Actions ,
Fair Access to Credit ,
FDIC ,
Fees ,
Final Report ,
Final Rules ,
Financial Regulatory Agencies ,
Financial Services Industry ,
FinCEN ,
Internal Revenue Code (IRC) ,
Lenders ,
Misrepresentation ,
Mortgage Lenders ,
New Rules ,
OCC ,
Popular ,
Public Comment ,
Regulatory Freeze ,
Ripple ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Settlement Agreements ,
Student Loans ,
Supervisory Guidance ,
Suspicious Activity Reports (SARs) ,
Unlawful Practices ,
Unregistered Securities ,
Virtual Currency
In this Issue. The Federal Deposit Insurance Corporation (FDIC) was busy this week, finalizing rules that modernize brokered deposits regulations, establish new standards for parent companies of industrial loan companies and...more
12/17/2020
/ §314(b) ,
Banking Sector ,
Branch Offices ,
Brokered Deposits ,
Brokers ,
Comment Period ,
Consumer Financial Protection Act (CFPA) ,
Consumer Financial Protection Bureau (CFPB) ,
Consumer Loan Companies ,
Cyber Incident Reporting ,
Cybersecurity ,
Debt Collection ,
Disclosure Requirements ,
Environmental Policies ,
Fair Credit Reporting Act (FCRA) ,
FDCPA ,
FDIC ,
Federal Bank Regulatory Agencies ,
Federal Reserve ,
Final Rules ,
Financial Reporting ,
Financial Services Industry ,
Historic Preservation ,
Information Sharing ,
Investment Adviser ,
Investment Management ,
Investors ,
MD&A Statements ,
NEPA ,
NHPA ,
Notice of Proposed Rulemaking (NOPR) ,
OCC ,
Paycheck Protection Program (PPP) ,
Proposed Rules ,
Public Comment ,
Qualified Mortgage Rule ,
Registered Funds ,
SBA ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Securities Regulation ,
Suspicious Activity Reports (SARs)
In the News. The Office of the Comptroller of the Currency (OCC) issued a long-awaited rule seeking comment on its proposed approach to determine the Community Reinvestment Act (CRA) evaluation measure benchmarks, retail...more
11/30/2020
/ Bank Secrecy Act ,
Banking Sector ,
Benchmarks ,
Charitable Organizations ,
Comment Period ,
Community Reinvestment Act ,
Consumer Financial Products ,
Consumer Financial Protection Bureau (CFPB) ,
Coronavirus/COVID-19 ,
Debt Buyers ,
Debt Collection ,
Derivatives ,
Disclosure Requirements ,
Document Retention Policies ,
Due Diligence ,
Fannie Mae ,
FDIC ,
FHFA ,
Final Rules ,
Financial Adviser ,
Financial Services Industry ,
Freddie Mac ,
Interim Final Rules (IFR) ,
Investment Adviser ,
Lenders ,
MD&A Statements ,
Mutual Funds ,
Nonprofits ,
Notice of Proposed Rulemaking (NOPR) ,
OCC ,
OCIE ,
Private Investment Funds ,
Proposed Rules ,
Public Comment ,
Registration Statement ,
Regulation M ,
Regulation S-K ,
Regulation S-T ,
Regulation Z ,
Regulatory Requirements ,
Relief Measures ,
Reporting Requirements ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Student Loans ,
Supervisory Guidance
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
11/19/2020
/ Affordable Housing ,
Amended Regulation ,
Banking Sector ,
Board of Directors ,
Borrowers ,
Consent Order ,
Consumer Financial Products ,
Consumer Financial Protection Act (CFPA) ,
Consumer Financial Protection Bureau (CFPB) ,
Coronavirus/COVID-19 ,
Corporate Governance ,
Debt Collection ,
Department of Labor (DOL) ,
Diversity ,
E-Signatures ,
EDGAR ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement Actions ,
Exclusive Forum ,
Fair Credit Reporting Act (FCRA) ,
Fannie Mae ,
FHFA ,
Fiduciary Duty ,
Final Rules ,
Financial Services Industry ,
Freddie Mac ,
Institutional Shareholder Services (ISS) ,
Interpretive Letters ,
Investment Management ,
Lenders ,
Loan Origination Funds ,
MNPI ,
Mortgages ,
Multi-Family Housing ,
No-Action Letters ,
Non-Public Information ,
OCC ,
Proxy Voting ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC)
In the News. The Consumer Financial Protection Bureau (CFPB) granted a no-action letter (NAL) regarding a proposed small-dollar credit product and sought comment on the CFPB’s plan to study how consumers locate, comprehend...more
11/12/2020
/ Banking Sector ,
Banks ,
Blockchain ,
Board of Directors ,
Consumer Financial Protection Act (CFPA) ,
Consumer Financial Protection Bureau (CFPB) ,
Coronavirus/COVID-19 ,
Cryptocurrency ,
Debt Settlement Services ,
Disclosure ,
Diversity ,
Enforcement Actions ,
FDCPA ,
FDIC ,
Federal Bank Regulatory Agencies ,
Federal Reserve ,
Final Rules ,
Financial Regulatory Agencies ,
Financial Services Industry ,
FinCEN ,
Geographic Targeting Order ,
Interest Rates ,
Joint Statements ,
Libor ,
Loans ,
New Guidance ,
New Rules ,
No-Action Letters ,
OCC ,
Payday Loans ,
PayPal ,
Publicly-Traded Companies ,
Real Estate Transactions ,
Shareholders ,
Small Dollar Lenders ,
Student Loans ,
Telemarketing Sales Rule ,
Title Insurance
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
11/5/2020
/ Banking Sector ,
Capital Formation ,
Climate Change ,
Confidential Information ,
Consent Order ,
Consumer Financial Products ,
Consumer Financial Protection Act (CFPA) ,
Consumer Financial Protection Bureau (CFPB) ,
Debt Collection ,
Department of Financial Services ,
Department of Labor (DOL) ,
Derivatives ,
Disclosure Requirements ,
Employee Retirement Income Security Act (ERISA) ,
Environmental Social & Governance (ESG) ,
FDCPA ,
FDIC ,
Federal Reserve ,
Fiduciary ,
Fiduciary Duty ,
Final Rules ,
Financial Institutions ,
Financial Records ,
Financial Regulatory Agencies ,
Financial Regulatory Reform ,
Financial Services Industry ,
Initial Public Offering (IPO) ,
Investment Companies ,
Investment Funds ,
Investment Opportunities ,
Investors ,
Lenders ,
Main Street Lending Programs ,
Notice of Proposed Rulemaking (NOPR) ,
OCC ,
Offerings ,
Proposed Rules ,
Public Comment ,
Registered Funds ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Small Business ,
Small Business Loans ,
UDAAP
In the News. The Office of the Comptroller of the Currency (OCC) finalized its “true lender” rule, which establishes that a national bank or federal savings association (bank) is the “true lender” of a loan if, as of the...more
10/29/2020
/ Advanced Notice of Proposed Rulemaking (ANPRM) ,
Amended Rules ,
Bank Secrecy Act ,
Banking Sector ,
CFTC ,
Community Development Financial Institution (CDFI) ,
Comptroller ,
Consumer Financial Products ,
Consumer Financial Protection Act (CFPA) ,
Consumer Financial Protection Bureau (CFPB) ,
Debt Collection ,
Depository Institutions ,
Derivatives ,
FDCPA ,
FDIC ,
Federal Reserve ,
FHFA ,
Final Rules ,
Financial Institutions ,
Financial Records ,
Financial Services Industry ,
FinCEN ,
FinTech ,
Forbearance Agreements ,
Insured Depository Institutions ,
Inter-Bank Offered Rates (IBORs) ,
Investors ,
ISDA ,
Military Service Members ,
Mortgages ,
OCC ,
Private Investment Funds ,
Proposed Rules ,
Proxy Statements ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals ,
TILA-RESPA Integrated Disclosure Rule (TRID) ,
Travel Rule ,
True Lender ,
Truth in Lending Act (TILA)
In the News. The Securities and Exchange Commission (SEC) announced that it adopted Rule 12d1-4 under the Investment Company Act of 1940 (the 1940 Act), providing a new regulatory framework for fund-of-funds and final...more
10/22/2020
/ Asset Management ,
Auditor Independence ,
Audits ,
Bank Holding Company ,
Banking Sector ,
Brokers ,
Capital Rules ,
Civil Monetary Penalty ,
Constitutional Challenges ,
Consumer Financial Protection Act (CFPA) ,
Consumer Financial Protection Bureau (CFPB) ,
Coronavirus/COVID-19 ,
Cryptocurrency ,
Department of Justice (DOJ) ,
Depository Institutions ,
Enforcement Actions ,
Executive Orders ,
Exemptions ,
FDIC ,
Federal Reserve ,
Final Rules ,
Financial Stimulus ,
FinCEN ,
Finders ,
Fund of Funds ,
Gifts ,
GSE ,
Insurance Fraud ,
Interim Final Rules (IFR) ,
Investment Company Act of 1940 ,
Liquidity ,
Marketing Services Agreements ,
Net Stable Funding Ratio (NSFR) ,
OCC ,
Promotional Items ,
Regulation S-X ,
Regulation X ,
Relief Measures ,
Reporting Requirements ,
RESPA ,
Robocalling ,
Rule 12d1-4 ,
Section 8 ,
Securities and Exchange Commission (SEC) ,
TCPA ,
TLAC ,
Trump Administration ,
UDAAP ,
Unemployment Insurance ,
Unfair or Deceptive Trade Practices