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The SEC recently published its 2022 Examination Priorities Letter on the heels of FINRA issuing its 2022 Examination and Risk Monitoring Program Report.

The SEC extended exemptive relief to NYSE, NYSE MKT and NYSE Arca (collectively, the "Exchanges") from the minimum pricing increment requirements of Rule 612 of Regulation NMS.

We have written a fair bit about business development companies and the important role that they serve as alternative capital providers.

The Federal Reserve, OCC, and FDIC have issued concurrent notices of proposed rulemaking that would fundamentally transform the risk-based capital framework for U.S. banking organizations, introducing a new expanded risk-based approach and revising the standardized approach. This whitepaper examines the proposed securitization framework changes, including the replacement of current bifurcated methodologies with a single SEC-SA methodology, new operational criteria for synthetic securitizations, and modifica

The advanced approaches framework requires banks to meet certain criteria for risk-measurement and risk-management when calculating risk-based capital standards as developed by the Basel Committee on Banking Supervision.

The advisory notes that while the guidance is largely consistent with existing US standards and practices, there are certain differences between the principles and the expectations of US regulators.

On June 16, 2015, the Federal Reserve Board, the Federal Deposit Insurance Corporation and the Office of the Comptroller of the Currency issued final revisions to the regulatory capital rules adopted in July 2013.

On December 28, 2016, the US Federal Reserve published the aggregate global indicator amounts for the purposes of calculating the "Method 1" G-SIB Surcharge for 2016.

From the February 27 to 28 meeting, the Basel Committee on Banking Supervision (BCBS) has published this press release with the outcome.

On March 23, 2016, the Council of the EU published an approved final compromise text of a proposed Regulation extending the Capital Requirements Regulation (Regulation 575/2013) (CRR) to extend certain exemptions for commodity dealers.

The European Central Bank’s Decision on the implementation of separation between the monetary policy and supervision functions of the ECB was published.

On October 30, 2014, the following regulatory technical standards supplementing CRD IV were published in the Official Journal of the European Union.

Responses to the consultation are due by 12 September 2014.

On 3 July 2014, the EBA launched a public consultation on RTS and ITS for colleges of supervisors.

The European Banking Authority (EBA) has published final draft regulatory technical standards (RTS) on the specification of the assessment methodology for competent authorities regarding compliance...

On October 7, 2014, the European Banking Authority issued a report on the monitoring of Additional Tier 1 capital instruments of EU firms.

The EBA launched a public consultation on RTS on the key information firms must disclose on their compliance with the requirement for a countercyclical capital buffer.