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1
LAW ELEVATED — Regulatory Burden Reduction Legislation Poised To Become Law
Bank regulatory relief legislation appears poised to be enacted. The U.S. Senate passed S.2155 with substantial bipartisan support and sent the Bill to the House of Representatives for consideration. While S.2155 contains several significant regulatory burden reduction provisions, many in the House of Representatives wanted additional burden reduction measures added.
United States
19 Jun 2018
2
SEC Director Hinman's Remarks Confirm That Ether And Bitcoin Are Not Securities
On June 14, 2018, speaking at the Yahoo Finance All Markets Summit: Crypto event in San Francisco, William Hinman, Director of the SEC's Division of Corporation Finance, made news ...
United States
19 Jun 2018
3
SEC Director William Hinman: "Current Offers And Sales Of Ether Are Not Securities Transactions"
At last week's Yahoo! All Markets Summit in Palo Alto, SEC Division of Corporation Finance Director William Hinman delivered a speech sure to send shockwaves through the crypto world.
United States
19 Jun 2018
4
Comptroller Of The Currency Outlines Priorities
In testimony before the House Financial Services Committee, Comptroller of the Currency Joseph Otting detailed key credit, interest rate, operational and compliance risks faced ...
United States
19 Jun 2018
5
FinCEN's New Customer Due Diligence Requirement
Effective May 11, 2018, the U.S. Treasury's Financial Crimes Enforcement Network ("FinCEN") implemented a new customer due diligence requirement.
United States
18 Jun 2018
6
IPO Underpricing
In a recent speech, Commissioner Jackson focuses on the traditional IPO 7% spread, which he refers to as a "tax."
United States
18 Jun 2018
7
CME Group's Recent Action Against Asset Manager Underscores The Importance Of Prompt Responses To SRO Inquiries
The recent summary denial by the CME Group, Inc., the financial market company comprised of four exchanges, including CME, CBOT, NYMEX, and COMEX, of an asset manager's access to all CME Group markets, ...
United States
18 Jun 2018
8
Basel Committee On Banking Supervision's 2018-2019 Work Program
On June 5, 2018, the Basel Committee on Banking Supervision published its 2018–2019 work program, setting out its focus areas for policy development, supervision, implementation and monitoring.
United States
18 Jun 2018
9
Financial Stability Board Seeks Comment On Technical Implementation Of TLAC
On June 6, 2018, the Financial Stability Board sought feedback on the technical implementation of standards on the adequacy of total loss-absorbing and recapitalization ...
United States
18 Jun 2018
10
New York Court of Appeals Curtails New York Attorney General's Use Of The Martin Act
On June 12, 2018, the New York Court of Appeals held that a three-year statute of limitations applies to actions brought by the New York Attorney General (NYAG) under the Martin Act ...
United States
18 Jun 2018
11
"Future Of Small Dollar Lending"
The regulatory stars are aligning for banks and non-banks to expand their offerings of short-term, small dollar credit.
United States
18 Jun 2018
12
FINRA Extends CDS Margin Pilot Program
FINRA proposed a rule change to extend the credit default swap ("CDS") margin pilot program in FINRA Rule 4240 to July 18, 2019.
United States
18 Jun 2018
13
Federal Register: CFTC Proposes Swap Dealer De Minimis Amendments
The CFTC requested public comment on a proposal to amend the swap dealer de minimis exception. Comments must be submitted by August 13, 2018.
United States
18 Jun 2018
14
When Filing Taxes, Don't Forget Virtual Currency Income
In a March 23 news release, the IRS reminded taxpayers that income from virtual currency transactions must be reported on income tax returns, and that certain virtual currency transactions ...
United States
18 Jun 2018
15
A Proposed Statutory Framework For State Regulation Of Virtual Currency Businesses: The Uniform Law Commission's "Uniform Regulation Of Virtual-Currency Businesses Act"
Last July, the Uniform Law Commission completed a uniform model state law, known as the Uniform Regulation of Virtual-Currency Businesses Act ("URVCBA" or the "Act") ...
United States
18 Jun 2018
16
FTC Freezes Assets And Operations Of Four Promoters Of Cryptocurrency Investment Schemes
The Federal Trade Commission (FTC) recently sought and received a temporary restraining order (TRO) against four promoters of alleged pyramid schemes involving cryptocurrencies.
United States
18 Jun 2018
17
Lending & Secured Finance 2018 – Analysis And Update On The Continuing Evolution Of Terms In Private Credit Transactions
For the past seven years, The Private Credit Group at Proskauer Rose LLP has tracked deal data for private credit transactions (our "data").
United States
14 Jun 2018
18
Regulatory Relief Act Benefits Community And Regional Banks
The Economic Growth, Regulatory Relief and Consumer Protection Act (the Act), which engendered substantial bipartisan support and was recently signed into law by President Donald Trump ...
United States
14 Jun 2018
19
Broker-Dealer Settles Charges For Failure To Supervise RMBS Traders And Salespersons
A broker-dealer agreed to pay approximately $15 million to settle SEC charges of failing to supervise residential mortgage-backed securities ("RMBS") traders and salespersons.
United States
14 Jun 2018
20
Banking Agencies Issue Statement On Enforcement Coordination
The Office of the Comptroller of the Currency, the FDIC and the Board of Governors of the Federal Reserve System ("Agencies") issued an updated policy statement on coordination...
United States
14 Jun 2018
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