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Searching Content by Steven Lofchie ordered by Published Date Descending.
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1
FDIC Chair McWilliams Urges More Collaboration On FinTech
FDIC Chair Jelena McWilliams urged regulators and industry innovators to work together to "increase the velocity of transformation" to ensure that "banks are safe and sound and consumers sufficiently
United States
21 Nov 2018
2
FDIC Requests Comments On Incentivizing Banks To Offer Small-Dollar Credit Products
The FDIC requested feedback from the public on ways in which it could incentivize FDIC-supervised institutions to offer small-dollar credit products that are (i) "responsible, prudently underwritten"
United States
21 Nov 2018
3
Broker-Dealer Settles FINRA Charges For Regulation SHO Violations
A broker-dealer agreed to pay $215,000 to settle FINRA charges for failing to comply with close-out obligations in connection with delivery fails resulting from sales of equity securities, as requ
United States
16 Nov 2018
4
SEC To Examine Operations Of Certain Mutual And Exchange-Traded Funds
The OCIE is interested in how the operation of these funds may impact retail investors.
United States
15 Nov 2018
5
Digital Token Trading Platform Founder Settles Charges For Operating Unregistered Exchange
The SEC settled its first enforcement action against the founder of digital token trading platform EtherDelta for operating an unregistered national securities exchange.
United States
14 Nov 2018
6
Former Bank Director Settles CFTC Charges For "Mismarking" Swaps
A former managing director of a bank agreed to pay $350,000 to settle CFTC charges for illegally "mismarking" swap valuations in an effort to hide significant trading losses.
United States
14 Nov 2018
7
CFTC Chair Advocates Greater "Quantitative Regulation
CFTC Chair J. Christopher Giancarlo urged the CFTC and other market regulators to adapt to modern digital markets and transform themselves into quantitative-driven agencies.
United States
13 Nov 2018
8
SEC Commissioner Urges SEC Enforcement To "Resist" Numerical Or Financial Targets
SEC Commissioner Hester Peirce called on the agency to "resist" the distraction of focusing on achieving numerical and penalty amount targets with respect to enforcement actions.
United States
13 Nov 2018
9
SEC Amends Regulation NMS To Require Additional Order-Handling Disclosures
The SEC will amend Regulation NMS Rules 600(b) and 606 to increase the transparency of broker-dealers' "handling and routing of orders in NMS stock."
United States
12 Nov 2018
10
Trade Associations Request Extension Of Comment Period For Security-Based Swap Rules
Several trade associations requested that the SEC extend the comment period for its proposed rules on capital, margin and segregation requirements for security-based swaps.
United States
9 Nov 2018
11
FINRA Proposes Extensive Amendments To Corporate Financing Rule
FINRA proposed a rule change to make "substantive, organizational and terminology" amendments to Rule 5110 in order to ensure that underwriters' fees are fair and reasonable.
United States
7 Nov 2018
12
NY AG Charges Exxon Mobil With Misrepresenting Estimates Of Potential Regulatory Costs
The New York Attorney General filed charges against Exxon Mobil Corporation ("Exxon") for inaccurately reporting an estimate of potential costs related to climate change regulation.
United States
5 Nov 2018
13
CFTC Commissioner Advocates For International Regulatory Cooperation
CFTC Commissioner Rostin Behnam advocated for international regulatory cooperation to address the risks posed by benchmark reforms, margin, Brexit, cross-border regulation and FinTech.
United States
5 Nov 2018
14
SEC Commissioner Offers Recommendations On Implementing G20 Swaps Reforms
SEC Commissioner Hester Peirce offered recommendations to regulators on implementing G20 swaps reforms. Ms Peirce said that the G20 reforms were not foolproof and encouraged regulators to exercise "healthy skepticism"...
United States
2 Nov 2018
15
Market Data Fees Called Into Question At SEC Roundtable
SEC Commissioner Elad L. Roisman and SEC Division of Trading and Markets Director Brett Redfearn raised various questions and concerns relating to current market data products, market access services and related fees.
United States
31 Oct 2018
16
SEC Commissioner Advocates For Broader Range Of Standardized Disclosure Requirements
However, the metrics are not standardized or uniform and, therefore, are less useful to investors.
United States
30 Oct 2018
17
Former SEC Commissioner Criticizes Petition For SEC Rulemaking On Environmental, Social And Governance Disclosure
In a Wall Street Journal op-ed, former SEC Commissioner Paul S. Atkins criticized a recent petition signed by 17 law professors and institutional investors ...
United States
25 Oct 2018
18
Senate Banking Committee Member Introduces "Pro-Growth" Legislation
Senate Committee on Banking, Housing and Urban Affairs member Mike Rounds (R-SD) introduced six bills intended to reduce regulatory burdens for investors and small businesses attempting to raise capital.
United States
24 Oct 2018
19
SEC Commissioner Urges Agency To Facilitate Competition In Capital Markets
SEC Commissioner Robert J. Jackson, Jr. called upon the agency to focus on the "forgotten fourth pillar" of its mission: facilitating competition in capital markets.
United States
24 Oct 2018
20
FSOC Rescinds SIFI Determination From Prudential Financial; No Non-Bank SIFIs Remain
The Financial Stability Oversight Council ("FSOC") rescinded its determination that material financial distress at Prudential Financial, Inc. ("Prudential") could present a threat to U.S. financial stability.
United States
23 Oct 2018
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