11,473 results found

The SEC named Robert Evans III as Chief of the Office of International Corporate Finance.

The SEC named Erik Gerding as new Division of Corporation Finance Deputy Director of Legal and Regulatory Policy. Mr. Gerding will assume the role on October 4, 2021.

The SEC named Sarah G. ten Siethoff Deputy Associate Director in the Division of Investment Management's Rulemaking Office. Ms. ten Siethoff will develop recommendations regarding rulemaking and policy initiatives for the Investment Company and Investment Advisors Acts of 1940.

The SEC Office of Investor Education and Advocacy informed investors about features and potential risks of alternative mutual funds that hold non-traditional investments...

The SEC Division of Investor Education and Advocacy alerted investors to various insurance scams that may arise from recent flooding in and around Louisiana.

Yesterday, in a welcome glimmer of bipartisanship, the Senate Banking Committee voted to move three of President Biden's financial regulatory nominees to the full Senate.

She also worked for the House Committee on Appropriations and the Senate Committee on Appropriations.

Senate Confirms New Fed Chair.

The U.S. Senate, by a 52-44 party-line vote, confirmed Mark Calabria as Director of the Federal Housing Finance Agency ("FHFA"). Mr. Calabria will succeed FHFA Acting Director Joseph Otting.

The Senate confirmed Wally Adeyemo as Deputy Secretary of the Treasury.

In comments on the Application for Registration of DTCC Data Repository (U.S.) LLC as a Security-Based Swap Data Repository ("SBS DR") with the SEC, SIFMA Asset Management...

SIFMA recommended a full market close on January 21, 2019, Martin Luther King Jr. Day.

FRB Governor Waller supports prudential regulatory framework for stablecoins. Bank regulators adopt rule requiring prompt notification of cyber incidents.

A student loan servicer reached a settlement with 39 state attorneys general, resolving claims of unfair and predatory lending practices.

This comprehensive regulatory update examines critical developments across global financial services, from the UK's FCA implementing new short selling rules and deferred payment credit regulations to the US federal banking agencies proposing revised Basel III capital requirements. The analysis explores how regulators are modernizing frameworks for bank supervision, resolution planning, and emerging technologies like tokenized commodities and payment stablecoins.

A trader at a proprietary trading firm agreed to settle CFTC charges for "spoofing" (i.e., placing multiple orders without intention to execute) ...

A trader settled Commodity Exchange ("COMEX") and New York Mercantile Exchange ("NYMEX") charges (see here and here) for violating spoofing-related rules.

An Illinois-based trading entity settled CFTC charges for exceeding the speculative position limits in soybean oil and meal futures.