SEC News Feed
SEC Charges Broker-Dealer and Transfer Agent in Microcap Shell Factory Fraud
Company Settles Unregistered ICO Charges After Self-Reporting to SEC
SEC Proposes to Expand “Test-the-Waters” Modernization Reform to All Issuers
SEC Files Charges in Elaborate Microcap Stock Fraud
SEC Charges Cognizant and Two Former Executives With FCPA Violations
Securities Docket News Wire
Allen Stanford’s Ponzi scheme victims say they have been short-changed
Kahn Swick seeks witnesses, plaintiffs for potential cybersecurity suit against Duke Energy – Charlotte Business Journal
Judge Reverses Blockvest Decision: ICOs Are Securities | LinkedIn
SEC Charges Former Senior Attorney at Apple With Insider Trading
Is There a First-Drafter Advantage in M&A?
CFTC Press Releases
American Banker Law & Regulation
Banks try new tools to learn what doesn't click in digital
Green Dot's profits surge on higher swipe fees, purchase volume
House probe of Deutsche Bank and Trump should be taken seriously
Community activists oppose Square's ILC bid
Banks healthy enough to absorb leveraged-loan risks: Moody’s
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
OIG finds ‘medium’ risk level in CFPB's travel card program
FHFA adopts regulations on capital requirements for FHLBanks
OCC issues revised dataset for use in 2019 stress tests
Democrats write to CFPB opposing changes to payday loan rule
OFR establishes data collection for centrally cleared funding transactions
MyCorporateResource Financial Services
WebCPA Regulation Channel
Payments Source Regulation
Green Dot's profits surge on higher swipe fees, purchase volume
Bill.com cuts wire-transfer fees in B2B cross-border payments race
Adyen and KLM use open banking to skirt payment cards
SIA beats Vocalink and CGI for Canadian payments gig
Noncash payments must be part of the mix
The BD/IA Regulator
The SEC Continues to Spread Sunshine on Private Equity: Reflections on Two Recent Enforcement Actions
FINRA’s 2019 Risk Monitoring and Examination Priorities Letter Highlights Broker-Dealer Online Distribution Platform Activities
Beware of Texting While Advising: OCIE Issues an Electronic Messaging Risk Alert
OCIE Publishes 2019 Enforcement Priorities
First SEC Enforcement Action Against Unregistered Digital Token Exchange
Reuters: Financial Regulatory Forum
The Hill: Banking/Financial Institutions
GOP Sen. Collins says she'll back resolution to block Trump's emergency declaration
On The Money: Trump trade chief to face lawmakers ahead of China deadline | Poll finds support for proposals to tax the rich | Deutsche Bank had worries Trump Organization would default on loans
Connecticut governor pitches statewide soda tax
Trump trade chief to face lawmakers ahead of crucial China deadline
Poll finds support for proposals to tax the rich
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
Exchanges seek to extinguish transaction fee pilot
CII renews objections to multi-class structures without sunsets, says anticipated Lyft public debut is ‘outlier’
Delaware appraisal petitions continue to fall, Cornerstone finds
United stockholder loses challenge to ex-CEO’s severance
IOSCO finds gaps in implementation of key market principles in emerging member jurisdictions
Learn more about...
Lawmakers, Regulators, SROs, and Standard Setters
American Institute of Certified Public Accountants
Bank for International Settlements
CME Group
Commodity Futures Trading Commission
Department of the Treasury
Depository Trust & Clearing Corporation
European Securities and Markets Authority
Federal Deposit Insurance Corporation
Federal Housing Administration
Federal Reserve Bank of New York
Financial Accounting Standards Board
Financial Industry Regulatory Authority
Financial Stability Board
House Commitee on Agriculture
House Financial Services Committee
IFRS Foundation and IASB
International Association of Securities Commissions
NASDAQ
NYSE Euronext
Office of the Comptroller of the Currency
OTC Derivatives Regulators' Forum
Public Company Accounting Oversight Board
Securities and Exchange Commission
Senate Banking Committee
U.S. Federal Reserve
Other Resources
Dodd-Frank Regulatory Action Database (SIFMA)
GAO Reports on TARP and Financial Markets
Investment Adviser Registration Depository
OpenRegs.com
Securities Class Action Clearinghouse (Stanford)
Securities Law Deskbook