NFA permanently banned from membership a CPO and CTA for failing to produce books and records for two of the CPO/CTA's principals and its majority owner

NMLS Ombudsman Virtual Meeting Summary.

The Federal Reserve Bank ("FRB") of New York Executive Vice President Richard Dzina discussed the current state of cyber resilience and operational security ...

The New York State Department of Financial Services ("NYDFS") approved the application of a trust company to act as a custodian for Bitcoin.

. These stress tests are mandated by Dodd-Frank Act Section 165(i)(2). In addition, the FRB issued summary instructions in a 2017 Comprehensive Capital Analysis and Review.

The Office of the Comptroller of the Currency ("OCC") laid out updated guidelines and procedures by which the agency implements its authority under Section 38 of the Federal Deposit Insurance Act.

On September 13, 2016, Comptroller of the Currency Thomas J. Curry discussed marketplace lending's risks and associated policy questions. He delivered his remarks at the inaugural Marketplace Lending Policy Summit

On May 24, the OCC, Federal Reserve and Federal Deposit Insurance Corporation (FDIC) published a notice of proposed rulemaking

On February 8, the OCC, the Federal Reserve Board and the FDIC issued a notice of proposed rulemaking that would provide a simplified measure of capital adequacy for qualifying community banking organizations consistent with section 201 of the EGRRCPA.

On July 11, 2016, the Office of the Comptroller of the Currency issued its semiannual report on risks faced by national banks and federal savings associations, using data through December 31, 2015.

The Office of the Comptroller of the Currency ("OCC") supplemented its guidance on agency procedures for examining the risk management of third-party relationships entered into by national banks and federal savings associations.

The Office of the Comptroller of the Currency ("OCC") updated the "Truth in Lending Act" (Regulation Z) booklet of the Comptroller's Handbook.

A discussion on the board's responsibility in lending.

Owl Rock is partnering with the Regents of the University of California to bolster its direct lending efforts with the formation of a strategic loan fund.

On October 10, the Public Company Accounting Oversight Board adopted two attestation standards pertaining to audits of brokers and dealers intended to help protect customer funds by enhancing the quality of compliance information provided to the Securities and Exchange Commission and used in its regulatory oversight of broker-dealers.

I am frequently asked what I think are the biggest risks to the U.S. banking system as we move toward 2017.

Even amongst a battle of supply and demand between GPs and the banks, subscription lines of credit remain resilient.

On April 16, Fitch published a report on Pennsylvania State System of Higher Education, PA.

On August 5, Moody's released is approach to rating Railcar leasing ABS.

On February 13, DBRS Publishes Updated Methodology for Rating U.S. Asset-Backed Commercial Paper Conduits.