SEC News Feed

• Christopher Hetner, Senior Advisor to the Chairman for Cybersecurity Policy, to Leave the Agency
• SEC Provides Regulatory Relief and Assistance for Hurricane Victims
• SEC Shuts Down $345 Million Fraud and Obtains Asset Freeze
• SEC Staff to Host Roundtable on Regulatory Approaches to Combating Retail Investor Fraud
• Biopharmaceutical Company, Executives Charged With Misleading Investors About Cancer Drug

Securities Docket News Wire

• SEC.gov | SeaWorld and Former CEO to Pay More Than $5 Million to Settle Fraud Charges
• Former SEC and FINRA Official Russ Ryan Returns to King & Spalding – King & Spalding
• SEC Warns Whistleblowers to Report Concerns Promptly
• Tipping Liability in the Wake of ‘Martoma II’ | New York Law Journal
• Tardy SEC whistleblower earns reduced award – The FCPA Blog

CFTC Press Releases

American Banker Law & Regulation

• ‘What’s needed is a wholesale change in the culture’
• Trump to name former central bank economist Nellie Liang to Fed board
• Fannie executive departs to join digital currency exchange
• Massachusetts bank to have first new CEO in two decades
• Is Wells Fargo looking for Tim Sloan’s replacement?

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

• Agencies propose modifying capital rules for high volatility commercial real estate exposures
• OCC proposes amending guidelines on recovery planning standards
• CFPB sues California-based company over pension-advance product claims
• CFPB updates FCRA model disclosures
• Regulators clarify guidance isn't law; violations won't bring enforcement actions

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

• New mobile security standard looks beyond smartphones
• Blockchain will make a great contribution to donation payments
• Amazon considering opening up to 3,000 cashierless stores by 2021
• PNC to use Ripple blockchain tech for international payments
• EMVCo picks up collaborators for EMV spec work

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 nominates former Fed economist to central bank's board
• On The Money: Midterms to shake up House finance panel | Chamber chief says US not in trade war | Mulvaney moving CFPB unit out of DC | Conservatives frustrated over big spending bills
• Alibaba founder reverses on promise to create 1 million jobs in US
• US Chamber chief says US not in trade war
• Mulvaney plans to move some consumer bureau staff to new Atlanta office

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

• Commissioner Peirce urges ‘humility’ in response regulatory response to cryptocurrency
• SEC advisory committee members endorse universal proxy, encourage blockchain in corporate elections
• Lawmakers urge SEC to retool Reg BI
• IM division rescinds relief for advisers relying on proxy advisory firms
• Chamber of Commerce group supports PCAOB strategic plan, recommends enhancements