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  • SEC News Feed

    • SEC Charges Broker-Dealer and Transfer Agent in Microcap Shell Factory Fraud
    • Company Settles Unregistered ICO Charges After Self-Reporting to SEC
    • SEC Proposes to Expand “Test-the-Waters” Modernization Reform to All Issuers
    • SEC Files Charges in Elaborate Microcap Stock Fraud
    • SEC Charges Cognizant and Two Former Executives With FCPA Violations
  • Securities Docket News Wire

    • Allen Stanford’s Ponzi scheme victims say they have been short-changed
    • Kahn Swick seeks witnesses, plaintiffs for potential cybersecurity suit against Duke Energy – Charlotte Business Journal
    • Judge Reverses Blockvest Decision: ICOs Are Securities | LinkedIn
    • SEC Charges Former Senior Attorney at Apple With Insider Trading
    • Is There a First-Drafter Advantage in M&A?
  • CFTC Press Releases

  • American Banker Law & Regulation

    • Banks try new tools to learn what doesn't click in digital
    • Green Dot's profits surge on higher swipe fees, purchase volume
    • House probe of Deutsche Bank and Trump should be taken seriously
    • Community activists oppose Square's ILC bid
    • Banks healthy enough to absorb leveraged-loan risks: Moody’s
  • 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

    • OIG finds ‘medium’ risk level in CFPB's travel card program
    • FHFA adopts regulations on capital requirements for FHLBanks
    • OCC issues revised dataset for use in 2019 stress tests
    • Democrats write to CFPB opposing changes to payday loan rule
    • OFR establishes data collection for centrally cleared funding transactions
  • MyCorporateResource Financial Services

  • WebCPA Regulation Channel

  • Payments Source Regulation

    • Green Dot's profits surge on higher swipe fees, purchase volume
    • Bill.com cuts wire-transfer fees in B2B cross-border payments race
    • Adyen and KLM use open banking to skirt payment cards
    • SIA beats Vocalink and CGI for Canadian payments gig
    • Noncash payments must be part of the mix
  • The BD/IA Regulator

    • The SEC Continues to Spread Sunshine on Private Equity: Reflections on Two Recent Enforcement Actions
    • FINRA’s 2019 Risk Monitoring and Examination Priorities Letter Highlights Broker-Dealer Online Distribution Platform Activities
    • Beware of Texting While Advising: OCIE Issues an Electronic Messaging Risk Alert
    • OCIE Publishes 2019 Enforcement Priorities
    • First SEC Enforcement Action Against Unregistered Digital Token Exchange
  • Reuters: Financial Regulatory Forum

  • The Hill: Banking/Financial Institutions

    • GOP Sen. Collins says she'll back resolution to block Trump's emergency declaration
    • On The Money: Trump trade chief to face lawmakers ahead of China deadline | Poll finds support for proposals to tax the rich | Deutsche Bank had worries Trump Organization would default on loans
    • Connecticut governor pitches statewide soda tax
    • Trump trade chief to face lawmakers ahead of crucial China deadline
    • Poll finds support for proposals to tax the rich
  • 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

    • Exchanges seek to extinguish transaction fee pilot
    • CII renews objections to multi-class structures without sunsets, says anticipated Lyft public debut is ‘outlier’
    • Delaware appraisal petitions continue to fall, Cornerstone finds
    • United stockholder loses challenge to ex-CEO’s severance
    • IOSCO finds gaps in implementation of key market principles in emerging member jurisdictions

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    • Dodd-Frank Regulatory Action Database (SIFMA)
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