SEC News Feed

• SEC Brings Charges in Edgar Hacking Case
• JPMorgan to Pay More Than $135 Million for Improper Handling of ADRs
• Agencies Invite Comment on a Proposal to Exclude Community Banks from the Volcker Rule
• Martha Miller Named Advocate for Small Business Capital Formation
• Two Advisory Firms, CEO Charged With Mutual Fund Share Class Disclosure Violations

Securities Docket News Wire

• Overseas Traders Face Charges for Hacking SEC’s Public Filings Site – WSJ
• Russian, Ukrainian defendants among those charged with hacking SEC system in trading scheme – The Washington Post
• Statement on EDGAR Hacking Enforcement Action
• U.S. charges hacker, traders for infiltrating SEC database
• The Person At the PCAOB Who Auditors Feared the Most Is Now Their Friend – Going Concern

CFTC Press Releases

American Banker Law & Regulation

• 'Can't stay this low forever': Why PNC is hedging on loan losses
• ‘I have the gavel’: Waters touts agenda but leadership challenges loom
• JPMorgan's Dimon says hard Brexit would be a 'disaster' for Britain
• Fiserv-First Data: Why small banks fear big fintech
• Fiserv, First Data and the staggering fintech threat

DerivAlert Derivatives Regulation News

FINAlternatives Regulation News

• Survey Reveals Investment Managers' Greatest Challenge with MiFID II
• Amundi Announces Absorption Of MiFID II Research Costs
• Toomey: Carried Interest Likely To Be Addressed In Senate Tax Plan
• SEC Grants 30-Month Reprieve On MiFID II Research Requirements
• Man Group Reverses MiFID II Research Decision, Will Absorb Costs

CCH Financial Reform News Center

• CFPB blog post discusses reports assessing ability-to-repay, mortgage servicing rules
• CFPB receives funding for second quarter of FY 2019
• Fed proposes revising stress testing requirements
• CFPB updates Civil Penalty Fund FAQs
• CFPB settles with savings association over alleged failure to honor stop payment requests

MyCorporateResource Financial Services

WebCPA Regulation Channel

Payments Source Regulation

• Swift's Pay Later API puts focus on merchant relationships
• Fiserv, First Data and the staggering fintech threat
• Going local for payments is the best international play for U.S. merchants
• PCI expands software security standards, framework
• Fiserv buying First Data in $22 billion deal to build fintech scale

The BD/IA Regulator

• OCIE Publishes 2019 Enforcement Priorities
• First SEC Enforcement Action Against Unregistered Digital Token Exchange
• SEC Staff Allows Fund Boards to Rely on CCO Reports
• SEC Sanctions Adviser and Portfolio Manager for Improper Cross Trades and Failure to Seek Best Execution
• Broker-Dealer Settles Record Keeping Charges for $1.25 Million

Reuters: Financial Regulatory Forum

The Hill: Banking/Financial Institutions

• Report: Federal workers increasingly using retirement savings during shutdown
• Citigroup says women trail men in 'unadjusted' pay measure, pledges to narrow gap
• Senate rejects effort to block Trump on Russia sanctions
• Ocasio-Cortez to join House panel overseeing financial sector
• On The Money: Shutdown Day 25 | Dems reject White House invite for talks | Leaders nix recess with no deal | McConnell blocks second House Dem funding bill | IRS workers called back for tax-filing season | Senate bucks Trump on Russia sanctions

NYT Dealbook – Legal/Regulatory

• British Regulator to Examine Competition in Investment Banking
• Women and Minorities Make Slight Gains at Law Firms
• U.S. Announces Third Bitcoin Auction
• 8 Tax Loopholes the Obama Administration Could Close
• A Call for Law Firms to Go Public

Jim Hamilton – Securities Regulation

• IAA voices concerns about proposal for portable retirement investment accounts
• 3M may exclude proposal to impose holding periods on stock and options
• ISS predicts California law will drive nationwide upswing of female board directors
• Questions are raised about investors' profit expectations
• Constitutional challenge lodged against SEC gag regulation