News & Analysis as of

Regulatory Agenda

FINRA Explores Options Aimed at Encouraging the Payment of Arbitration Awards and Settlements

by Bryan Cave on

Key Takeaways - ..While typically there is a relatively small portion of FINRA customer cases that proceed to an award of damages, approximately one out of every four damage awards goes unpaid. ..FINRA has proposed...more

US House of Representatives Passes Regulatory Reform Bills and Senate Continues Debate on Regulatory Reform Bill

by Shearman & Sterling LLP on

The U.S. House of Representatives passed four bills from the U.S. House Financial Services Committee, all by voice vote, which are primarily designed to reduce the regulatory burden on financial institutions...more

Regulatory Relief: It’s About Time

by Vedder Price on

In November 2016, with the election results confirmed, the banking industry was awash in hopes for a more lenient regulatory posture. To date, the industry has seen no reform. However, on March 14, 2018, the Senate passed and...more

Government Contracts Legislative and Regulatory Updates - March 2018

by Dentons on

Our March edition of “Government Contracts Legislative and Regulatory Update” offers a summary of the relevant changes that took place during the month of February....more

Senate-passed Regulatory Reform Offers Real Benefits to Depository Institutions under $10 Billion in Assets

by Bryan Cave on

On March 14, 2018, the Senate passed, 67-31, the Economic Growth, Regulatory Relief and Consumer Protection Act, or S. 2155. While it may lack a catchy name, its substance is of potentially great importance to community...more

Is France going to strengthen its control over foreign direct investments again?

by Bryan Cave on

The current rules in France concerning the control over foreign direct investments arose from the deregulation of international capital flows which occurred worldwide, and especially in the United States and the European...more

Regulatory Happenings for the Week of February 26, 2018

by Buchalter on

On 5/26/17, the ALJ issued a proposed decision implementing new compliance requirements for the RPS program in response to SB350. These new rules for long-term contracts start with the compliance period beginning 1/1/21. The...more

European Commission Outlines its Action Plan for FinTech

by Shearman & Sterling LLP on

The European Commission has issued a Communication on FinTech to the European Parliament, the European Council, the European Central Bank, the European Economic and Social Committee and the Committee of the Regions....more

BLM Begins Scoping Process to Consider Amendments to Desert Renewable Energy Conservation Plan

by Latham & Watkins LLP on

DRECP under review in an effort to alleviate burdens on energy development. The Bureau of Land Management (BLM) recently issued a notice of intent to review the Desert Renewable Energy Conservation Plan (DRECP) for...more

How Does the Fed Want to Regulate Foreign Banks?

by Sullivan & Worcester on

On March 5, 2018, the Fed’s new Vice Chairman for Supervision, Randal Quarles, spoke at the Institute of International Bankers annual conference. He wanted to express his thoughts on the appropriate regulatory environment for...more

FDA Commissioner Gottlieb Gives Speech on Biosimilars

by Goodwin on

Earlier today, FDA Commissioner Scott Gottlieb, MD, gave a speech focusing on biosimilars at America’s Health Insurance Plans’ National Health Policy Conference in Washington, D.C. In his speech, Commissioner Gottlieb...more

Volcker Rule Regulatory Changes Are Coming

by Ropes & Gray LLP on

Federal financial regulators responsible for enforcement of the Volcker Rule are about to embark on a process that will culminate in a significant revision to the regulations that went into effect eighteen months ago. In a...more

Sixth Circuit Vacates Nationwide WOTUS Rule Injunction

by Steptoe & Johnson PLLC on

As anticipated, the 6th Circuit Court of Appeals took the formal action of vacating its temporary injunction which had enjoined the enforcement of the Obama-era rule which redefined Waters of the United States (WOTUS)...more

SEC, FINRA Target ICOs, Cybersecurity, Secondary Market Trading in 2018 Examination Priorities

Both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) recently released their respective 2018 examination priorities, providing a glimpse into their plans for the year to...more

ICOs - The necessity of a European regulatory framework for tokens

by Dentons on

While regulators were still discussing the most effective way to regulate crowdfunding within the EU, a new wave of alternative financing overwhelmingly took them by surprise: ICOs are the new hype, and it seems like there is...more

Highlights From SEC Speaks 2018 - Retail, Cybersecurity And Cryptocurrency

The Commissioners and senior officials of the Securities and Exchange Commission ("SEC" or "Commission") addressed the public on February 23-24 at the annual "SEC Speaks" conference in Washington, D.C. Throughout the...more

CFPB to look to state AGs for more leadership in enforcement arena

by Ballard Spahr LLP on

In remarks yesterday at the winter meeting of the National Association of Attorneys General in Washington, D.C., Mick Mulvaney indicated that the CFPB will be looking to state attorneys general for “much more collaboration...more

Recent ICO Guidelines in France and Switzerland

After our recent client alert summarizing recent U.S. regulatory developments in the crypto-world, the House of Representatives of the State of Wyoming passed HB 70, referred to as the “Utility Token Bill” and HB 19, known as...more

Comptroller of the Currency Announces That OCC Will Not Enforce Leveraged Lending Guidance

On Feb. 27, 2018, Joseph Otting, the comptroller of the Currency, the principal regulator of all national banks, speaking at a conference hosted by the Structured Finance Industry Group in Las Vegas, NV, announced that the...more

The CFPB Under New Leadership: What to Expect in 2018

by Pepper Hamilton LLP on

Speculation about the future of the Consumer Financial Protection Bureau (CFPB) has been ever-present since Donald Trump’s victory in the 2016 Presidential election was first announced. Originally published in Delaware...more

Annual Report on EEOC Developments — Fiscal Year 2017

by Littler on

This Annual Report on EEOC Developments—Fiscal Year 2017, our seventh annual Report, is designed as a comprehensive guide to significant EEOC developments over the past fiscal year. The Report does not merely summarize case...more

CFPB’s Strategic Plan Reflects New Path

Last week, the CFPB issued its Strategic Plan for Fiscal Years 2018-2022. The Plan reflects Acting Director Mick Mulvaney’s vision for the CFPB and reflects a contrasting vision to what was reflected in the prior draft which...more

Bank Regulatory News and Trends

by DLA Piper on

This regular publication from DLA Piper focuses on helping banking and financial services clients navigate the ever-changing federal regulatory landscape....more

2018 Antitrust Outlook – Another Year Of Uncertainty

by Foley & Lardner LLP on

The antitrust outlook in the United States in 2018 continues to present uncertainty. Below, we look to identify some sources of that uncertainty and offer some predictions for industries, including the auto industry, for the...more

SEC Announces 2018 National Examination Priorities

by Pepper Hamilton LLP on

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) recently announced its 2018 national examination priorities, which are broken down into five categories...more

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