SEC News Feed

• SEC Settles Insider Trading Claims Against Former Chairman and CEO of Advanced Medical Optics
• SEC Announces Agenda, Panelists for Staff Roundtable on the Proxy Process
• Stock Research Firm and Co-Founders Charged With Deceiving Investors in Supposedly Unbiased Reports
• SEC Charges EtherDelta Founder With Operating an Unregistered Exchange
• Investor Testing of the Proposed Relationship Summary for Investment Advisers and Broker-Dealers

Securities Docket News Wire

• Will ‘First-of-Its-Kind’ Ripple Suit Set the Tone for US Cryptocurrency Law? | Legaltech News
• Snap subpoenaed by Justice Department over its IPO disclosures
• Dec. 3 Webcast: What Should Crypto Funds Expect From The SEC Going Forward?
• SEC Asset Management Unit Co-Chief Lands at Dechert | The American Lawyer
• Commissioner Peirce: the meaningless of enforcement numbers and penalty amounts | Compliance Week

CFTC Press Releases

American Banker Law & Regulation

• Buffett raises bets on big banks, adds stakes in JPMorgan, PNC
• FDIC approves Massachusetts de novo application
• Pot banking takes off in U.S. as women forge path around ban
• CFPB’s remittance rule exception needs a reboot
• Warren says leveraged lending lapses invite new crisis

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

• Quarles says stress capital buffer will likely take effect by 2020 despite concerns
• CFPB and FHFA release dataset on borrowers' mortgage experiences
• OIG issues audit of CFPB's information security program
• Fed finalizes new supervisory rating system for large financial institutions
• Brown and Luetkemeyer differ on Fed proposals to revise prudential standards framework

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

• Uber vending machine maker Cargo adds Venmo for in-car commerce
• 11.15.18 Your morning briefing
• 7-Eleven meets Amazon Go? How a massive retail chain reimagined checkout
• Artificial intelligence biases can hurt fintech development
• Gas Pos raises $1 million in funding for EMV pump-payment tool

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

• Trump team plans to promote fossil fuels at UN climate event: report
• HQ2 deal brings new scrutiny on Amazon
• On The Money: Trump, Senate leaders to huddle on border wall funding | Fed bank regulator walks tightrope on Dodd-Frank | Koch-backed groups blast incentives for corporations after Amazon deal
• Fed bank regulator walks tightrope on Dodd-Frank
• Fed nominee Bowman advances to final vote in Senate

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

• CorpFin director expects digital asset guidance to be ready by early 2019
• IM Director Blass praises ‘symphony of participants,’ vibrancy of financial markets
• OCIE announces risk-based exam initiatives focused on funds and advisers
• IAC approves recommendation to clarify Reg. BI
• Updated C&DIs conform to new definition of ‘smaller reporting company’