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The Futures Industry Association ("FIA") urged the SEC to prioritize the finalization of enhanced standards for systemically important and security-based swap clearing agencies...

A firm settled FINRA charges for conducting a securities business while failing to maintain required minimum net capital.

The Board of Governors of the Federal Reserve System ("FRB") adopted a final rule to require U.S. top-tier bank holding companies.

The Federal Reserve Board ("FRB") amended the "capital plan rule" to limit the scope of potential objections to a firm's capital plan on the basis of "qualitative deficiencies in the firm's capital planning process."

It assesses insurance risks using an insurance capital framework and banking risks using our banking capital framework."

The Board of Governors of the Federal Reserve System fined HSBC $175 million for unsafe and unsound trading practices in the foreign exchange ("FX") markets during the period between October 2008 and October 2013.

FRB Governor Jerome Powell described the history of the central bank, and explained that the unique structure of the FRB is a "compromise" that was designed to balance national and regional interests.

The Federal Reserve Board ("FRB") requested comment on a proposal to establish capital requirements for certain supervised insurance companies.

Federal Reserve Board Chair Janet L. Yellen submitted her resignation as a Member of the Board of Governors of the Federal Reserve System ("FRB").

Bank holding companies often hold equity stakes in portfolio companies under multiple legal authorities, but what happens when merchant banking authority combines with Section 4(c)(6) holdings? Understanding how these combined ownership positions trigger Regulation W's affiliation presumption is critical for compliance with covered transaction restrictions.

The Office of the Comptroller of the Currency announced that certain OCC and interagency guidance was applicable to federal savings associations.

On November 1, the OCC issued Bulletin 2023-34 addressing the topic of "venture lending," referred to as "commercial loans to early-, expansion-, and late-stage companies."

The Office of Financial Research ("OFR") identified several common measures to determine systemic risk originating from large banks.

Federal Reserve Bank of New York ("NY Fed") President and CEO William C. Dudley shared regulatory lessons from the financial crisis and discouraged regulators from making significant changes...

As you may be aware, the House of Representatives passed the EESA today by a vote of 263 to 171, with 172 Democrats and 91 Republicans voting for the bill. This legislation was identical to the version of the bill passed by the Senate on Wednesday of this week.

The Risk Desk editor John Sodergreen discussed regulatory developments concerning the CFTC capital requirements rule and Regulation Automated Trading ("AT") proposals.

Yesterday, the full Senate confirmed Michael Barr to a four-year term as Vice Chair for Supervision and to Randal Quarles' unexpired term as a member of the Board of Governors.