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
August 9, 2024 - The U.S. Department of the Treasury, Federal Reserve Board, Federal Deposit Insurance Corporation, Office of the Comptroller of the Currency, Securities and Exchange Commission, Commodity Futures Trading...more
July 25, 2024- The Federal Reserve Board, Federal Deposit Insurance Corporation, and Office of the Comptroller of the Currency issued a statement reminding banks of potential risks associated with third-party arrangements...more
June 4, 2024- The Consumer Financial Protection Bureau issued a circular warning against the use of unlawful or unenforceable terms and conditions in contracts for consumer financial products or services. June 4, 2024- ...more
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
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
January 9, 2024- The Federal Reserve Board released the minutes from the recent meetings that occurred on November 13 through December 13, 2023 to review and determine the discount rates provided to depository institutions...more
December 15, 2023- U.S. Senate Committee on Baking, Housing, and Urban Affairs Chair Senator Sherrod Brown (D-OH), along with Senators John Kennedy (R-LA), Bob Casey (D-PA), Chris Van Hollen (D-MD), Mike Braun (R-IN), and...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
September 28, 2023- The U.S. House Committee on Small Business Subcommittee on Rural Development, Energy, and Supply Chains held a hearing titled "Energy Independence: How Burdensome Energy Regulations are Crushing Small...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 25, 2023- The U.S. House Committee on Financial Services Subcommittee on National Security, Illicit Finance, and International Financial Institutions held a hearing entitled, "International Financial Institutions in an...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 15, 2023- U.S. Senator Sherrod Brown (D-OH), Chairman of the Senate Banking, Housing, and Urban Affairs Committee, and Congresswoman Maxine Waters (D-CA-43), Ranking Member of the House Financial Services Committee, led...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
April 5, 2023- The U.S. Department of the Treasury's Office of Foreign Assets Control took action to designate Genesis Market, for its part in the theft and sale of device credentials and related sensitive information....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
February 14, 2023- The U.S. Senate Committee on Banking, Housing, and Urban Affairs held a hearing entitled, "Crypto Crash: Why Financial System Safeguards are Needed for Digital Assets."...more
February 6, 2023- The Federal Reserve Bank of New York published a Liberty Street Economics blog post entitled, "Understanding the "Inconvenience" of U.S. Treasury Bonds."...more
January 13, 2023- U.S. Secretary of the Treasury Janet L. Yellen sent a letter to all members of Congressional leadership regarding the debt limit. January 13, 2023- The UK-U.S. Financial Regulatory Working Group issued a...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