Regulatory Developments -
Federal Reserve Invites Public Comment on Proposed Principles for Large Banking Organizations to Manage Climate-Related Financial Risks -
On December 2, the Federal Reserve announced that it...more
12/12/2022
/ Broker-Dealer ,
Climate Change ,
Comment Period ,
Consumer Financial Protection Bureau (CFPB) ,
Disclosure Requirements ,
Federal Reserve ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Initial Public Offering (IPO) ,
Investment Adviser ,
Military Service Members ,
Nasdaq ,
NYSE ,
OCC ,
Payment Systems ,
Preemption ,
Proposed Regulation ,
Public Comment ,
Pump and Dump ,
Regulation S-ID ,
Risk Management ,
SCRA ,
Truth in Lending Act (TILA)
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 Board of Governors of the Federal Reserve System (Federal Reserve) invited public comment on proposed changes to Regulation II, better known as the Durbin Amendment, regarding network availability for...more
5/14/2021
/ Banking Sector ,
Bitcoin ,
Community Banks ,
Comptroller ,
Congressional Review Act ,
Cryptocurrency ,
Debit Cards ,
Digital Assets ,
Division of Investment Management ,
Durbin Amendment Rules ,
FDIC ,
Federal Reserve ,
Financial Services Industry ,
Investment Company Act of 1940 ,
Investment Management ,
Investors ,
Lenders ,
Mutual Funds ,
Notice of Proposed Rulemaking (NOPR) ,
OCC ,
Public Comment ,
Securities and Exchange Commission (SEC) ,
True Lender ,
U.S. Treasury
SEC Charges Trust Company with Operating Unregistered Investment Companies and Failing to Register Securities Offerings. On September 30, the Securities and Exchange Commission (SEC) announced it had settled charges with...more
10/8/2020
/ Banking Regulators ,
Banking Sector ,
Borrowers ,
Capital Requirements ,
Change of Ownership ,
Class Action ,
Community Reinvestment Act ,
Consent Order ,
Consumer Financial Protection Bureau (CFPB) ,
Coronavirus/COVID-19 ,
Current Expected Credit Losses (CECL) ,
Dividends ,
Enforcement Actions ,
Federal Reserve ,
Final Rules ,
Financial Instruments ,
Financial Services Industry ,
Incentive Awards ,
Investment Adviser ,
Investment Companies ,
Investors ,
Mergers ,
New Guidance ,
New Rules ,
NYSE ,
OCC ,
Paycheck Protection Program (PPP) ,
Public Comment ,
Relief Measures ,
Risk Management ,
SBA ,
Securities and Exchange Commission (SEC) ,
Shareholder Approval ,
Shareholders ,
Small Banks ,
Small Business ,
Stock Repurchases ,
Stress Tests ,
Supervision ,
TILA-RESPA Integrated Disclosure Rule (TRID) ,
Trust Funds ,
Truth in Lending Act (TILA) ,
Unregistered Securities
In the News. The Securities and Exchange Commission (SEC) proposed modifying the disclosure framework for mutual funds and exchange-traded funds (funds), which would create a new layered disclosure regime that attempts to...more
8/14/2020
/ Alternative Reference Rates Committee (ARRC) ,
Annual Reports ,
Banking Sector ,
Banks ,
Board of Governors ,
Borrowers ,
Business Development Companies ,
Capital Requirements ,
Closed-End Funds ,
Comment Period ,
Coronavirus/COVID-19 ,
Disclosure Requirements ,
Enforcement Actions ,
Excessive Fees ,
Exchange-Traded Products ,
Federal Reserve ,
Fees ,
Financial Services Industry ,
Form N-1A ,
Interim Final Rules (IFR) ,
Investment Adviser ,
Investment Companies ,
Investment Company Act of 1940 ,
Investment Funds ,
Investment Management ,
Investors ,
Lenders ,
Libor ,
Loan Forgiveness ,
Municipal Liquidity Facility (MLF) ,
Mutual Funds ,
OCC ,
Paycheck Protection Program (PPP) ,
Public Comment ,
Registered Funds ,
Retail Investors ,
Rule 30e-3 ,
SBA ,
SEC Advertising Rule ,
Section 36(b) ,
Secured Overnight Funding Rate (SOFR) ,
Securities and Exchange Commission (SEC) ,
Shareholders