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The UK's banking regulator, the Prudential Regulation Authority ("PRA") has announced its intention to move the implementation date of the final Basel 3.1 policies...

The UK Chancellor of the Exchequer named Andrew Bailey as the next Governor of the Bank of England. Mr. Bailey will succeed former Governor Mark Carney on March 16, 2020.

FINRA created a new Securities Industry Essentials ("SIE") examination and revised several of its representative-level qualification examinations.

The Federal Trade Commission Bureau of Competition and the U.S. Department of Justice Antitrust Division issued the 38th "Hart-Scott-Rodino Annual Report".

The FTC Bureau of Competition's Premerger Notification Office ("PNO") began posting monthly totals of Hart-Scott-Rodino ("HSR") Act filings.

In an update on an antitrust investigation into Facebook, New York Attorney General ("AG") Letitia James stated that 47 State Attorneys General are now supporting the effort.

The SEC Division of Investment Management (the "Division") updated guidance on automated advisers (or "robo-advisors") that provide services directly to clients over the internet.

IOSCO urged issuers of securities to make "timely and high quality" disclosures, that are entity-specific, about the impact of COVID-19.

He is the Vice Chair of Institutional Securities at Morgan Stanley.

A broker-dealer settled charges with FINRA for failing to maintain a system of supervisory control procedures that would have assured compliance with FINRA rules.

The CFTC appointed Tanisha Cole Edmonds as the agency's first Chief Diversity Officer.

Comments on the proposed amendments must be submitted by December 14, 2021.

The SEC published in the Federal Register proposed rule changes to reporting requirements for security-based swap ("SBS") transactions. Comments on the proposal are due by March 21, 2022.

According to an SEC Order and Complaint, Barrett Business Services, Inc., through its former CFO, engaged in a number of fraudulent accounting practices to conceal negative trends in BBSI's workers' compensation exposure.

The European Securities and Markets Authority ("ESMA") provided additional guidance on the impact of a no-deal Brexit on the Markets in Financial Instruments ...

A FINRA rule proposal extending its current pilot program for reviews of clearly erroneous transactions in exchange-listed securities was published in the Federal Register.

Comments may continue to be submitted to the SEC until January 11, 2019.