SEC News Feed

• SEC Suspends Former BDO Accountants for Improperly “Predating” Audit Work Papers
• SEC’s New Strategic Plan Puts Investors, Innovation, and Performance at Top
• SEC Reopens Comment Period for Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants
• SEC Stops Fraudulent ICO That Falsely Claimed SEC Approval
• Gary Goldsholle, Former Deputy Director, Current Senior Policy Adviser in the Division of Trading and Markets, to Leave the SEC

Securities Docket News Wire

• Google+ User Data Securities Lawsuits Filed Against Alphabet | The D&O Diary
• Trump push for fewer company profit reports tempered by SEC | Bloomberg News
• Rep. Chris Collins Will Face Trial In 2020
• Former SEC Counsel Joins Cahill | Cahill Gordon & Reindel LLP
• Ponzi scheme suspect paid $720K for prayers amid SEC probe – Beaumont Enterprise

CFTC Press Releases

American Banker Law & Regulation

• CFPB writing rule to define ‘abusive’ standard: Mulvaney
• As digital banks proliferate, so do risks
• Reducing gap between FHA, conventional market is priority: Montgomery
• BofA looks to fill CRE lending void
• This library’s sole subject: Keeping up with financial criminals

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 highlights role of Ombudsman's Office
• FDIC issues guidance on CFPB's rule clarifying HMDA amendments
• CFPB blog post discusses ways to increase income
• CFPB settles with companies over alleged delay in sending payments to third-party debt buyers
• Sanders and Sherman introduce bill to cap size of financial institutions

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

• Venmo raises instant transfer fee to 1 percent amid pressure from rivals
• Fiserv to offer DadePay accounts receivable software-as-a-service
• PlasmaPay crypto wallet launches in Southeast Asia
• Amex, Ethoca add 'Eliminator' to diffuse chargebacks
• Merchants can use PSD2-powered loyalty to lure consumers from rivals

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

• On The Money: Deficit hits six-year high of $779 billion | Yellen: Trump's Fed attacks threaten central bank, financial stability | Disasters become big chunk of U.S. deficit
• Yellen: Trump's Fed attacks threaten central bank, financial stability
• Deficit hits six-year high of $779 billion: Treasury
• Affordable housing set for spotlight of next presidential campaign
• Sears files for bankruptcy

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

• SEC unveils plan to focus on investors, innovation, and performance
• Chairman, Behnam talk interest rate benchmarks at Bipartisan Policy Center
• ICOs, senior fraud drive increase in state actions against unregistered persons
• High Court declines to address bar on private aiding-and-abetting claims
• Securities Regulation Daily’s top 10 developments for September 2018