SEC News Feed

• SEC Charges Agria Corporation and Executive Chairman With Fraud
• Three Broker-Dealers to Pay More Than $6 Million in Penalties for Providing Deficient Blue Sheet Data
• SEC Announces Agenda and Panelists for the 37th Annual Small Business Forum
• SEC Halts Alleged Insider Trading Ring Spanning Three Countries
• SEC Investor Advisory Committee to Meet on December 13

Securities Docket News Wire

• Can Hester Peirce Refocus The SEC On Its Real Job?
• Williams & Connolly Chair Dane Butswinkas Is Named Tesla General Counsel | National Law Journal
• Uber Is Said to File for an I.P.O. as It Races Lyft to a Public Debut – The New York Times
• Here’s what became of Bernie Madoff’s inner circle
• Bernie Madoff’s Legacy: Whistleblower Inc. – WSJ

CFTC Press Releases

American Banker Law & Regulation

• How banks could fend off Amazon and Facebook
• House panel slams Equifax for breach but offers no legislative fix
• Fed won't lift Wells' growth cap until deficiencies are fixed: Powell
• Students pay price in banks' marketing pacts with colleges: CFPB
• What Calabria at FHFA would mean for GSE reform

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

• Brainard speaks in Washington on assessing financial stability
• Perdue introduces bill to provide relief from costs of 'duplicative capital buffers'
• Senate confirms Kraninger nomination by one-vote margin
• CFPB issues 'Fair Lending Report'
• OCC issues 'Semiannual Risk Perspective'

MyCorporateResource Financial Services

WebCPA Regulation Channel

Payments Source Regulation

• Risk, fintechs and regs spark real-time payment reforms in U.K.
• Payment infrastructure may not be ready for IoT
• South Korean P2P tech heats up with VC investors
• ACI collaborates with BioCatch for behavioral fraud-screening
• Crypto diehards say slump is ‘bump in the road’ before growth

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

• IRS issues guidance aimed at limiting impact of tax on nonprofits' parking expenses
• On The Money: New director takes helm at troubled consumer agency | Trump’s economy teetering on trade tensions, volatile markets | Brexit crisis deepens | House report scolds Equifax over breach
• Budget deficit soars in first two months of fiscal year
• Brady releases revised version of year-end tax package
• Australian regulator calls for Facebook, Google to be curbed

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

• Chairman Giancarlo speaks out as Brexit zero-hour approaches
• SEC officials, panelists confer on muni disclosures in atmosphere of partial regulation
• Final MRAC meeting of 2018 focuses on clearinghouse and vendor risk management matters
• SEC finalizes rules aimed at promoting research reports on investment funds
• Failure to show artificial price dooms CFTC manipulation action against DRW