SEC News Feed

• SEC Brings Charges in Edgar Hacking Case
• JPMorgan to Pay More Than $135 Million for Improper Handling of ADRs
• Agencies Invite Comment on a Proposal to Exclude Community Banks from the Volcker Rule
• Martha Miller Named Advocate for Small Business Capital Formation
• Two Advisory Firms, CEO Charged With Mutual Fund Share Class Disclosure Violations

Securities Docket News Wire

• Silicon Valley’s Unbridled Optimism Gets Fresh Reality Check – WSJ
• Why The SEC Shutdown Must End (Now) | LinkedIn
• UK Bribery Act: 2018 in review, and a few predictions – The FCPA Blog
• Trump’s failure to name Democrats to agencies stalls enforcement – POLITICO
• Waters, McHenry Introduce Bill to Curb Insider Trading | ThinkAdvisor

CFTC Press Releases

American Banker Law & Regulation

• Disney executive joins Union Bank to head data insights team
• Fifth Third eyes middle market in Texas, Colorado
• Provident Financial to buy New York wealth management firm
• Industry group urges reopening of SBA, citing impact of shutdown
• Is community banks' loan growth too much of a good thing?

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 requests authority to supervise for compliance with Military Lending Act
• CFPB blog post discusses reports assessing ability-to-repay, mortgage servicing rules
• CFPB receives funding for second quarter of FY 2019
• Fed proposes revising stress testing requirements
• CFPB updates Civil Penalty Fund FAQs

MyCorporateResource Financial Services

WebCPA Regulation Channel

Payments Source Regulation

• How GDPR enforcement promotes development of digital ID
• Furloughed employees' latest headache: Work-related credit card debt
• German fintech heidelpay acquires installment lender Universum Group
• Norwegian biometric startup Zwipe raises $14 million
• Target's surrender to Apple Pay shows the struggle of retailer-only wallets

The BD/IA Regulator

• OCIE Publishes 2019 Enforcement Priorities
• First SEC Enforcement Action Against Unregistered Digital Token Exchange
• SEC Staff Allows Fund Boards to Rely on CCO Reports
• SEC Sanctions Adviser and Portfolio Manager for Improper Cross Trades and Failure to Seek Best Execution
• Broker-Dealer Settles Record Keeping Charges for $1.25 Million

Reuters: Financial Regulatory Forum

The Hill: Banking/Financial Institutions

• USDA to recall more than 9,000 furloughed workers to provide farm aid
• Shutdown could delay SNAP benefits in February
• Top Trump adviser predicts economy will 'snap back' after shutdown
• Senate Dem introduces 'Stop Stupidity' act to end government shutdowns
• Dem demands Trump justify recalling furloughed workers

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

• IOSCO issues good practices report to support audit quality
• Abraham, Martin and John
• Tax-withholding transactions were not short-swing profits
• Webinar explores the evolving SEC whistleblower minefield
• IAA voices concerns about proposal for portable retirement investment accounts