SEC News Feed

• SEC Charges Technology Fund Adviser, Founder in Fraudulent Scheme
• Merrill Lynch Settles SEC Charges of Undisclosed Conflict in Advisory Decision
• SEC Adopts Rule Amendments to Improve Municipal Securities Disclosure
• SEC Charges Unregistered Brokers Who Sold Woodbridge Securities to Main Street Investors
• SEC Adopts Amendments to Simplify and Update Disclosure Requirements

Securities Docket News Wire

• A Guide to the Pros and Cons of Trump’s 6-Month Earnings Plan – Bloomberg
• The Congressional Guide to Insider Trading – Bloomberg
• Donald Trump asks SEC to study six-month reporting intervals
• SEC Subpoenas Tesla Over Elon Musk’s Tweets About Going Private on Cheddar
• Financial Crimes Enforcement Network Receives 1,500 Crypto Complaints Per Month – BlockTribune

CFTC Press Releases

American Banker Law & Regulation

• Citi buys into future of artificial intelligence — literally
• Lenders tread carefully in return to homebuilder finance
• JPMorgan hires BofA exec to lead midsize business banking in Calif.
• Fed's head of research to retire at year-end
• Bank lobbyists’ hollow campaign against credit unions

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 issues 'Sustainability Implementation Plan'
• Democrats urge CFPB to maintain examinations of lenders for MLA compliance
• CFPB and other regulators to create Global Financial Innovation Network
• Fed proposes revision of 'Capital Assessments and Stress Testing' information collection
• Civil investigative demand petition denied

MyCorporateResource Financial Services

• Akin Gump: Keeping Calm and Carrying On: the EU Market Abuse Regulations
• Hogan Lovells: Brexit and UK-related M&A
• Hogan Lovells: Impact of Brexit on the insurance industry: what's next?
• Morgan Lewis: Brexit: Business as Usual for Competition Law and Enforcement
• Milbank: EU Market Abuse Regulation

WebCPA Regulation Channel

• Congressional CPAs Object to ‘Two-GAAP’ Environment in Letter to SEC Chair
• FASB Votes to Finalize Variable Interest Entity Standard
• Fitch Sees Diminishing Prospects for IFRS in U.S.
• IFAC and CIPFA Offer Framework for Improving Public Sector Governance
• AICPA Releases Auditing Interpretations on GASB Pension Standards

Payments Source Regulation

• Equity Kenya's fintech in talks with Ethiopian banks on payments
• Vietnam's Kienlongbank adds JCB credit card
• Why a former Visa exec joined a U.K. blockchain security startup
• How Tokes targets the regulatory thicket of legal cannabis
• Organizations don't have to go 'all in' to automate corporate payments

The BD/IA Regulator

• Broker-Dealer Settles Record Keeping Charges for $1.25 Million
• FINRA Asks Members: What Are You Doing with Digital Assets?
• Massachusetts Takes on Risky Broker-Dealers That Offer Private Placements
• New Exemptive Rule Could Lower Barriers to Entry for New ETFs
• AICPA Draft Guide Available for Comment: Valuation of Portfolio Company Investments of Venture Capital and Private Equity Funds

Reuters: Financial Regulatory Forum

• Federal marijuana ban deters insurers as U.S. states legalize
• IA Brief: If your program is a “wrap”, be prepared
• IMPACT ANALYSIS: FINRA’s charges against ex-Morgan Stanley traders hired by UBS raise background questions
• Wells Fargo case highlights need to monitor employees with stressful performance goals
• INSIGHT: SEC delivering on promise to scrutinize private equity firms

The Hill: Banking/Financial Institutions

• Women from parts of the U.S. with prevalent "sexist" beliefs make less money: study
• Trump criticized Powell, Fed rate hikes at GOP fundraiser: reports
• Shipping giant warns Trump tariffs 'could easily' end up hurting US the most
• Time running out for Trump's NAFTA talks
• Turkish president blasts ‘economic coup’ amid heightened tensions with US

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

• Commission says CBOE must seek approval to use deferential appeals standard
• No requirement to separately analyze adviser's sub-administrator fees
• Industry groups support CFTC proposal on swap dealer registration; watchdog calls it ‘Swiss cheese’
• Blockchain and the legal profession featured at Chicago-Kent law school conference
• ICI, SIFMA offer recommendations on proposed Reg BI