PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What Laws Affect Securities Offerings?
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
Videocast: Asset management regulation in 2020 videocast series – Fiduciary investment advice: The patchwork emerges
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
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
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
July 12, 2023- The U.S. House Committee on Financial Services held a hearing entitled, "Protecting Investor Interests: Examining Environmental and Social Policy in Financial Regulation."...more
July 7, 2023- The Consumer Financial Protection Bureau (CFPB), U.S. Department of Health and Human Services, and U.S. Department of Treasury launched an inquiry into high-cost specialty financial products, such as medical...more
June 12, 2023 The Accountability Through Confirmation Act and the Protecting Small Business Information Act have each been introduced to reform the Financial Crimes Enforcement Network (FinCEN)....more
May 24, 2023- The U.S. House Committee on Small Business held a hearing entitled, "Saluting Service: Supporting Veteran Owned Small Businesses."...more
May 4, 2023- The U.S. House Committee on Financial Services Subcommittee on Oversight and Investigations will hold a hearing on May 10, 2023, entitled, "Oversight of Silicon Valley Bank and Signature Bank: GAO's Preliminary...more
April 27, 2023- The U.S. Senate Committee on Banking, Housing, and Urban Affairs held a hearing entitled, "Oversight of the Credit Reporting Agencies." April 27, 2023- The U.S. Senate Committee on Small Business &...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
March 13, 2023- The Federal Reserve Board announced that Vice Chair for Supervision Michael S. Barr is leading a review of the supervision and regulation of Silicon Valley Bank, in light of its failure. The review will be...more
December 14, 2022- The Federal Reserve Board issued a Federal Open Market Committee statement following the Committee meeting held December 13-14....more
December 13, 2022- State bank supervisors have appointed New York State Department of Financial Services Superintendent Adrienne A. Harris to serve as the state banking supervisor's representative on the Financial Stability...more
November 15, 2022- The U.S. Senate Committee on Banking, Housing, and Urban Affairs held a hearing entitled, "Oversight of Financial Regulators: A Strong Banking and Credit Union System for Main Street." The witnesses...more
Congress- U.S. House of Representatives- Committee on Financial Services- Hearing: Where Have All the Houses Gone? Private Equity, Single Family Rentals, and America's Neighborhoods-...more