A recent decision by the D.C. Circuit Court of Appeals effectively raises the standard for SEC review and approval of rule change filings submitted by national securities exchanges, FINRA...
The Office of the Comptroller of the Currency (OCC) issued a Notice today requesting public comment on potential changes to the regulations implementing the Volcker Rule. The Notice focu...
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...
The Financial Stability Board (FSB) has a long history of taking the high road in proposing international financial regulatory standards. Its Key Attributes for Effective Resolution Regi...
As the breakneck pace of the OTC derivatives regulatory regime continues, the 2017 edition of OTC Derivatives Regulation Under Dodd-Frank: A Guide to Registration, Reporting, Business Con...
Three recent cybersecurity events highlight the need for companies to review their access controls to limit who has administrator privileges and how long those elevated privileges last.
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