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