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Department of Labor (DOL) Commodities Futures Trading Commission

Katten Muchin Rosenman LLP

Financial Markets and Funds Quick Take | Issue 26

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

Davis Wright Tremaine LLP

Broker Dealer Regulatory Digest - April 2024 - 2

Securities and Exchange Commission. Cryptocurrency regulation. On April 23, 2024, two groups representing the cryptocurrency industry sued SEC over its expanded dealer definition announced earlier this year. The Blockchain...more

Paul Hastings LLP

Daily Financial Regulation Update -- Friday, March 9, 2024

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March 8, 2024- The Federal Reserve Board announced a final rule that updates risk management requirements systemically important financial market utilities supervised by the Board....more

Paul Hastings LLP

Daily Financial Regulation Update -- Saturday, February 3, 2024

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February 2, 2024- Members of the U.S. House Committee on Financial Services and Chair of the Digital Assets, Financial Technology and Inclusion Subcommittee French Hill (AR-02) sent a letter to Federal Deposit Insurance...more

Davis Wright Tremaine LLP

Broker Dealer Regulatory Digest - November 2023

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,...more

Paul Hastings LLP

Daily Financial Regulation Update -- Saturday, October 7, 2023

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October 6, 2023- The U.S. Department of the Treasury and the Internal Revenue Service released guidance that will lower costs for consumers and help car dealers grow their businesses by increasing access to Inflation...more

Paul Hastings LLP

Daily Financial Regulation Update -- Monday, July 10, 2023

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July 7, 2023- The Commodity Futures Trading Commission announced the approval of a made-available-to-trade (MAT) determination submitted by TW SEF LLC for certain U.S. Dollar (USD) Secured Overnight Financing Rate (SOFR)...more

Cozen O'Connor

Cozen Currents: The Taxman Cometh, But Which Taxman?

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The Cozen Lens- •Congress isn't in its tax heyday like it was in 2017 or 2021, but tax policy is far from dormant as the Biden administration focuses on implementing the Inflation Reduction Act tax agenda and a major tax...more

Paul Hastings LLP

Daily Financial Regulation Update -- Saturday, February 4, 2023

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February 3, 2023- U.S. Sen. Sherrod Brown (D-OH), Chairman of the U.S. Senate Committee on Banking, Housing, and Urban Affairs, announced the hearing schedule for the month of February....more

Harris Beach PLLC

Crypto Compensation? Bitcoin Bonus? New York State Employers Must Weigh Requests Carefully

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If your staff member wants his or her paycheck in cryptocurrency, should you – as an employer keeping up with the times — accommodate the request? You don’t have to work in Silicon Valley or play for the NFL to field this...more

Paul Hastings LLP

Daily Financial Regulation Update -- Tuesday, May 24, 2022

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The U.S. Department of State, the U.S. Department of the Treasury, the U.S. Department of Commerce, and the U.S. Department of Labor are issuing this advisory to highlight growing risks to American businesses and individuals...more

Lowenstein Sandler LLP

Material Investment Management Developments and Template Annual Compliance Checklists for Registered Investment Advisers, Exempt...

Summaries of recent legislative and regulatory developments with respect to: •SEC’s 2022 Examination Priorities • Proposed Amendments to Form PF Requirements- •Proposed New Rules Applicable to Private Fund Advisers and...more

Robins Kaplan LLP

Financial Daily Dose 12.14.2021 - French Court Cuts UBS Fine to $2 Billion Over Client Tax-Evasion Efforts

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A French appeals court cut a 2019 fine by more than half on Monday but still left Swiss bank UBS with a $2 billion penalty “for helping rich clients evade taxes” through what prosecutors called a “long-running scheme” that...more

Goodwin

Federal Agencies Issue Joint Statement on Management of LIBOR Transition

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In This Issue. Federal agencies issued a joint statement regarding an orderly transition away from the London Interbank Offered Rate (LIBOR); the Office of the Comptroller of the Currency (OCC) issued an updated...more

Blank Rome LLP

Regulatory Update and Recent SEC Actions - April 2021

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REGULATORY UPDATES - SEC - Leadership Changes On April 14, 2021, the U.S. Senate voted to approve President Biden’s nomination of Gary Gensler as Chairman of the Securities and Exchange Commission (the “SEC”) through June...more

Foley & Lardner LLP

Review of Recent Whistleblower Developments

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Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include: SEC...more

Alston & Bird

Investment Management, Trading & Markets Updates – January 2021

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SEC Final Rule on Derivatives Use by Registered Funds and BDCs - On October 28, 2020, the SEC passed a final rule to modernize the regulatory framework for derivatives used by registered investment companies, including mutual...more

Robins Kaplan LLP

Financial Daily Dose 9.9.2020 | Top Story: Luxury-Goods Giant LMVH Pulls Out of $16 Billion Deal to Acquire Tiffany & Co.

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Blaming a “U.S. move to impose tariffs on French goods,” luxury brand conglomerate LMVH is pulling out of a proposed $16 billion deal to buy jeweler Tiffany & Co. Tiffany is now suing to enforce the ill-fated agreement....more

Foley & Lardner LLP

A Review of Recent Whistleblower Developments - August 2020

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Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include: SEC...more

Kelley Drye & Warren LLP

COVID-19 Washington Update: July 2020 #3

Below, please find a summary of the federal government’s activities in response to COVID-19 since our last update. Please note that in light of the Congressional recess, we will only publish updates on Mondays, Wednesdays,...more

Goodwin

Financial Services Weekly Roundup: The Supreme Court Strikes Back On Single Director Leadership Structures

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In This Issue. The U.S. Supreme Court struck down the single director leadership structure of the Consumer Financial Protection Bureau (CFPB) in a ruling that could have far-reaching implications for the CFPB and other...more

Dechert LLP

Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds

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The U.S. federal securities laws and the rules of U.S. self regulatory organizations (such as the Financial Industry Regulatory Authority) impose certain reporting and compliance obligations on investment advisers and funds....more

Dechert LLP

Treasury’s Third Report on Financial System Regulation Focuses on the Asset Management and Insurance Industries

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The U.S. Department of the Treasury (Treasury) recently released a report examining the regulatory framework for the asset management and insurance industries (Report). The Report is the third in a series of four reports that...more

Clark Hill PLC

Window on Washington - Vol. 1, Issue 37

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House Majority Leader McCarthy informed members on Thursday that they should be ready to vote this evening on a motion to go to conference with the Senate on tax legislation, despite the House not scheduled to be in session....more

Vedder Price

Investment Services Regulatory Update - November 2017

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New Rules, Proposed Rules, Guidance and Alerts - SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues No-Action Letters to Facilitate Cross-Border Compliance with the Research “Unbundling” Provisions of the European...more

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