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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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Rules and Regulations
SEC Proposes Whistleblower Rule Amendments
Industry Update
SEC Releases Strategic Plan for Fiscal Years 2018-2022
Litigation
SEC Charges New York-based Investme...
The Treasury Department published its fourth and final report in response to President Trump’s 2017 Executive Order that established core principles for U.S. financial regulation. The ...
On July 24, 2018, the Securities and Exchange Commission proposed amendments to the financial disclosure requirements in SEC-registered offerings that apply to guarantors and issuers of g...