On March 20, the SEC adopted rules pursuant to the FAST Act to modernize and simplify disclosure for public companies. This is an incremental yet welcome step in furtherance of the SEC’...

In a suit against Volkswagen filed last week, the SEC alleges that the company committed fraud in connection with offerings of its corporate and collateralized debt. This latest U.S. enfo...

Earlier this month, SEC Chairman Jay Clayton and Division of Trading and Markets Director Brett Redfearn engaged in a public dialogue on equity market structure issues.  In addition to re...

U.S. federal banking regulators plan to revive efforts to regulate financial institution incentive compensation, as required under Section 956 of the Dodd–Frank Wall Street Reform and C...

On March 6, 2019, CFTC Director of Enforcement James McDonald said the agency is pursuing foreign corrupt practices that constitute violations of the Commodities Exchange Act, with some i...

Last week the European Parliament and European Union (EU) member states reached a tentative agreement on proposed legislation that would set standards for low-carbon benchmarks in the EU....

On March 4, 2019, the U.S. State Department announced that, for the first time, it would permit actions under Title III of the Cuban Liberty and Democratic Solidarity (Libertad) Act of 19...

Financial services regulatory reform continues to evolve in 2019.  As we observe the changing landscape, here is the New Congress Edition of our reference tool, which provides context and...

As the new Congress gets underway, we have updated our brief deck summarizing the leadership and staffing changes among federal financial regulators, including announced nominations, con...

Rules and Regulations SEC Proposes Expansion of “Testing the Waters” Provisions Industry Update Commissioner Hester Peirce Provides Remarks at the University of Missouri School ...