SEC News Feed

• SEC Charges Unregistered Sales of Securities Issued Under EB-5 Immigrant Investor Program
• Public Companies Charged With Failing to Comply With Quarterly Reporting Obligations
• SEC Staff to Host Nov. 15 Roundtable on the Proxy Process
• Business Services Company and Former CFO Charged With Accounting Fraud
• Pamela C. Dyson, Chief Information Officer, to Leave SEC

Securities Docket News Wire

• US prosecutors charge three men in US$364 million Ponzi scheme – Reuters
• Labaton’s Whistleblower Group Lands Former Top SEC Lawyer | The American Lawyer
• SEC Says Don’t Judge Its Enforcement Strength Solely on Volume of Cases, Fines – WSJ
• Madoff Tipster Has Some Big Concerns About SEC’s Whistleblower Proposal | National Law Journal
• SEC.gov | SeaWorld and Former CEO to Pay More Than $5 Million to Settle Fraud Charges

CFTC Press Releases

American Banker Law & Regulation

• Alexa is expanding its reach. Will banks miss out?
• SunTrust glitch, Amazon and Google mortgages, Tim Sloan job security: Top stories of the week
• Wells Fargo CEO says he's prepared to stay until he's 65
• Washington poised to have first-ever bank sold to a credit union
• Popular rebounds from Maria, but Puerto Rico's challenges endure

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

• Agencies propose modifying capital rules for high volatility commercial real estate exposures
• OCC proposes amending guidelines on recovery planning standards
• CFPB sues California-based company over pension-advance product claims
• CFPB updates FCRA model disclosures
• Regulators clarify guidance isn't law; violations won't bring enforcement actions

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

• Hurricane Florence brings back the oldest credit card tech
• Square adds Google Pay to address online checkout friction
• A favorite two-factor method — mobile — is proving insecure
• 6 biggest threats to Alexa payments
• OCC’s Otting: Why do state regulators want to limit consumer choice?

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

• 5 things to know about Trump's escalating trade war with China
• Contractors: Trump tariffs causing rise in rebuilding costs after hurricane
• China scraps trade talks with US after latest round of Trump tariffs
• On The Money: Trump signs first 2019 'minibus' spending package | Mueller probing transactions by Russian organizers of Trump Tower meeting | Stocks brush off trade fears
• Senate Dems to Trump: Reverse cuts to Palestinian aid

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

• Warren bill would require disclosure of climate-change exposure
• NY AG finds pervasive vulnerabilities in virtual currency exchanges
• Commissioner Peirce urges ‘humility’ in response regulatory response to cryptocurrency
• SEC advisory committee members endorse universal proxy, encourage blockchain in corporate elections
• Lawmakers urge SEC to retool Reg BI