The CFTC staff has once again extended its no-action relief from the “arrange, negotiate or execute” provisions of CFTC Advisory 13-69, the controversial 2013 advisory that applies tr...
Friday marks the seventh anniversary of the Dodd-Frank Act. The outlook for financial regulation, and Dodd-Frank, has fundamentally shifted over the past year. Since President Trump’s...
The recent Treasury Report on financial regulatory reforms related to banks and credit unions devotes significant attention to issues of capital, stress testing and liquidity, which highl...
Jay Clayton’s first public speech on Wednesday as Chairman of the SEC foretold few, if any, sweeping regulatory changes at the Commission. His remarks, delivered to the Economic Club of...
The CFTC’s swap reporting rules, which were among the first swap rules finalized after Dodd-Frank, have also been among the most technically difficult for the industry to implement. Re...
There has been a slow start to financial regulatory reform under the Trump Administration, but the conversation is now changing in ways that are serious and thoughtful. This note highligh...
Few have embraced President Trump’s Executive Order on Core Principles for Regulating the U.S. Financial System as swiftly and decisively as CFTC Acting Chair Christopher Giancarlo. Hi...
A revised version of the Financial CHOICE Act (commonly referred to as CHOICE Act 2.0) was passed by the House Financial Services Committee last week on a strictly partisan vote and will ...
FINRA has published a regulatory notice requesting comment on a long-awaited proposal to create a safe harbor that will exempt qualifying desk commentary from most of its equity and debt ...
SEC Chair nominee Jay Clayton’s March 23rd hearing before the Senate Banking Committee covered much of the expected ground. In a series of responses designed to avoid controversy, Clayt...
