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For the first time in over a decade, Congress has amended the statutory authority under which the Committee on Foreign Investment in the United States (“CFIUS” or the “Committee”)...
The U.S. financial services industry continues to be faced with changes in technology – machine learning, database capabilities, automated process, and innovative products – that chan...
The ISS annual global policy survey for 2018 includes only a few issues compared to prior years, but with more focus on the election of directors. The responses to the survey will inform...
In its recent report on financial innovation, the U.S. Treasury Department calls upon federal banking regulators to address the uncertainty in lending markets created by the Madden case a...
On August 6, 2018, President Trump issued Executive Order (“E.O.”) 13846, further implementing his May 8, 2018 decision to terminate the United States’ participation in the Joint C...
The OCC’s announcement that it will begin accepting applications for nondeposit fintech charters is an important and welcome development, especially in light of the Treasury’s explici...
The Federal Reserve’s current approach to determining whether a banking organization has control over another company for purposes of the Bank Holding Company Act can discourage fintech...
At the end of July, the SEC Division of Corporation Finance issued two interpretations (known as CDIs) on notices of exempt solicitations. These are the filings that may suddenly show up...
SEC staff will host a roundtable this fall to hear from issuers and investors about whether to change the proxy process. Chairman Clayton has asked the staff to consider the following it...
Rules and Regulations
SEC Proposes New ETF Rule
SEC Adopts Inline XBRL for Tagged Data
SEC Adopts Amendments to the Liquidity Disclosure Rule
SEC Proposes Whistleblower Rule Amendments
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