SEC News Feed

• Jeffrey S. Mooney Named Associate Director in the Office of Clearance and Settlement
• SEC Charges Former New York Investment Advisor and Daughter With Conducting a Ponzi Scheme
• SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
• Jeffrey Minton, Office of the Chief Accountant Chief Counsel, to Retire from the SEC After 20 Years of Service
• Executives Settle ICO Scam Charges

Securities Docket News Wire

• Scam used fake SEC letters to bilk victims, FBI says – New Jersey Herald -
• Securities Lawsuit Filed Based on Reports of Alleged Inappropriate Office Relationship | The D&O Diary
• UK jury fails to reach verdict in insider trading case | Financial Times
• Former $1M+ Allen & Overy Partner Gets Trump Nod to Lead Commodities Agency | National Law Journal
• Department of Justice Announces Important Revisions to the Yates Memo | Drinker Biddle

CFTC Press Releases

American Banker Law & Regulation

• Robinhood backs down after outcry over checking account
• Trump names Mulvaney acting White House Chief of Staff
• Bankers cry foul over Robinhood’s checking and savings accounts
• House Dems urge CFPB’s Kraninger to commit to military lending exams
• Calabria's GSE effect, 2019 fintech, Kraninger's CFPB: Top stories of the week

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

• Waters 'deeply troubled' over CFPB settlement with State Farm Bank
• Senators request update on FSOC's progress in reforming nonbank designation process
• Waters expresses concerns over CFPB proposal to revise no-action letter policy
• GAO issues report on GSIB actions to mitigate obstacles to orderly resolution
• Brainard speaks in Washington on assessing financial stability

MyCorporateResource Financial Services

WebCPA Regulation Channel

Payments Source Regulation

• Why Ohio is gung-ho for cryptocurrency and blockchain
• EMVCo updates 3-D Secure specification to combat card not present fraud
• China’s plan to sideline bitcoin
• Game developers get an AI/blockchain payment platform
• The one banking bill Congress might actually pass next term

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

The Hill: Banking/Financial Institutions

• Trump finds himself isolated in shutdown fight
• Trump’s tax law sparks year-end rush to finalize divorces
• Sears gets approval to pay $25.3 million in bonuses to top execs after filing for bankruptcy
• Mulvaney will stay on as White House budget chief
• On The Money: Trump leaves GOP in turmoil with shutdown looming | Trump names Mulvaney acting chief of staff | China agrees to 3-month freeze of auto tariffs | Dem to seek Deutsche Bank records of Trump's personal finances

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

• CFTC seeks public input on Ether virtual currency
• Proskauer Rose attorneys warn of collateral consequences in parallel proceedings
• Senior SEC accounting officials talk recent policy initiatives
• Justices take case bearing on agency deference
• Chairman Giancarlo speaks out as Brexit zero-hour approaches