SEC News Feed

• Jury Rules in SEC’s Favor, Finds Brokerage Firm and Two of Its Executives Liable for Fraud
• SEC Proposes Actions to Improve Cross-Border Application of Security-Based Swap Requirements
• SEC Proposes Amendments to More Appropriately Tailor the Accelerated and Large Accelerated Filer Definitions
• SEC Charges Nevada Man Who Traded on Confidential Information Taken From Lifelong Friend
• SEC Charges Sapphire Glass Manufacturer and Former CEO With Fraud

Securities Docket News Wire

• SEC: Hester Peirce Says the Time for Approval is Now (2019) – Crypto Daily™
• Two Internal Auditors Thought They Could Get Away with Insider Trading, LOL – Going Concern
• Plaintiff’s Firm Seeks SEC Documents in Elon Musk Investigation | National Law Journal
• Trump pardons ex-media mogul Conrad Black, who wrote flattering biography of Trump
• KPMG to reform UK governance in response to audit market review | Financial Times

CFTC Press Releases

American Banker Law & Regulation

• First American adds to Florida operations with Continental acquisition
• Metro Bank shares post record gain as lender boosts capital
• Trump calls Fannie, Freddie a 'pretty urgent problem'
• In New York, growing support for a public bank
• 25 attorneys general oppose CFPB's payday rule revamp

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 sues credit repair companies over alleged violations of Telemarketing Sales Rule
• CFPB proposes to raise HMDA thresholds; requests feedback on reporting HMDA data
• OIG issues list of open recommendations made to CFPB
• FDIC Systemic Resolution Advisory Committee charter renewed
• Senators object to CFPB's removal of HMDA data tools from website

MyCorporateResource Financial Services

WebCPA Regulation Channel

Payments Source Regulation

• Chase expands digital health care payments via InstaMed acquisition
• A remittance fintech aims to be first of its kind to offer banking
• Shift4 pushes free terminals—again—at restaurants
• Bitcoin tumbles as stellar run for digital tokens loses footing
• Amazon leads £475 million funding for Deliveroo, heating up food delivery battle

The BD/IA Regulator

• New SEC Privacy and Cybersecurity Risk Alert Tells Broker Dealers and Investment Advisers Common Deficiencies to Avoid
• SEC Announces Settlements Resulting from the Share Class Selection Initiative
• 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

Reuters: Financial Regulatory Forum

The Hill: Banking/Financial Institutions

• On The Money: Treasury rejects Dem subpoena for Trump tax returns | Companies warn trade war about to hit consumers | Congress, White House to launch budget talks next week | Trump gets deal to lift steel tariffs on Mexico, Canada
• Companies warn Trump trade war is about to hit consumers
• READ: Mnuchin refuses to provide Trump's tax returns
• Treasury Department rejects Dem subpoena for Trump tax returns
• Buttigieg climate plan includes carbon tax

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

• OCIE head highlights key compliance considerations, potential internal controls enhancements
• Government enforcement officials highlight priorities, recent developments at PLI conference  
• SEC proposes amendments, guidance for cross-border security-based swaps
• AmEx had no duty to update investors about contract negotiations
• SEC kicks off Small Business Week with roundtable examining geographical challenges to raising capital