United States

In early November of 2018, Michigan, Missouri, and Utah joined the growing list of states that have legalized some form of marijuana use.

In September 2018, California passed SB-327, the first Internet of Things (IoT) security law addressing growing concerns over cybersecurity ...

In between holiday shopping and merriment, we here at the Financial Services Report are pondering what's in a name. Not much, said Shakespeare.

The Supreme Court decided Monday that it will review whether to keep or scrap its standard for reviewing interpretations by federal agencies of their own regulations.

On November 29, 2018, Deputy Attorney General Rod J. Rosenstein announced the Department of Justice's (DOJ) much-anticipated revisions to the September 2015

Based on data from the Bank for International Settlements, ISDA found that OTC derivatives notional outstanding went up during the first half of 2018.

The SEC approved amendments to FINRA's customer and industry arbitration rules concerning arbitration honorariums.

The CFTC proposal to amend Rule 160.5 - which requires certain "covered persons" to provide annual privacy notices to customers at least once a year during the life of the customer relationship - was published in the Federal Register.

The U.S. Department of the Treasury Office of Foreign Assets Control ("OFAC") extended the expiration date of certain General Licenses concerning companies on the Specially Designated Nationals and Blocked Persons list.

The Federal Reserve Board and Consumer Financial Protection Bureau (collectively, the "agencies") proposed amendments (the "2018 proposal") to Regulation CC, which implements the Expedited Funds Availability Act ("EFA Act").

Based on the results of its Tick Size Pilot Program (the "Pilot"), the SEC found that increasing the tick size for certain small capitalization stocks did not affect stock prices.

Three broker-dealers agreed to settle SEC charges for failing to submit complete and accurate securities trading information on electronic blue sheets.

SEC Chair Jay Clayton, SEC Chief Accountant Wesley Bricker and Public Company Accounting and Oversight Board ("PCAOB") Chair William D. Duhnke III raised concerns about foreign markets that restrict access to information about U.S.-listed companies operating overseas.

CFTC is alleging that apples and oranges are the same, and that if you bid or offer apples at a price different than the market price for oranges, you are manipulating.

A financial investment firm agreed to pay $425,000 to settle charges for impeding a Chicago Mercantile Exchange investigation.

The CFTC Division of Swap Dealer and Intermediary Oversight exempted a futures commission merchant from certain audited financial reports requirements.

She also worked for the House Committee on Appropriations and the Senate Committee on Appropriations.

Five traders agreed to settle Chicago Mercantile Exchange "spoofing" charges.

In the past two weeks, U.S. District Courts in South Carolina and Washington issued decisions that dealt additional blows to the Trump Administration's efforts to unravel the 2015 Obama-era "waters of the United States" rule.

When an IPR petition results in a final written decision, the IPR petitioner is estopped from asserting in a civil litigation or an ITC action that "the claim is invalid on any ground that the petitioner raised or reasonably could have raised during that inter partes review.