SEC News Feed

• Citigroup to Pay More Than $10 Million for Books and Records Violations and Inadequate Controls
• SEC Charges Ameriprise Financial Services for Failing to Safeguard Client Assets
• SEC Files Charges in Municipal Bond “Flipping” and Kickback Schemes
• SEC Bars Perpetrator of Initial Coin Offering Fraud
• SEC Charges U.S. Congressman and Others With Insider Trading

Securities Docket News Wire

• SEC Subpoenas Tesla Over Elon Musk’s Tweets About Going Private on Cheddar
• Financial Crimes Enforcement Network Receives 1,500 Crypto Complaints Per Month – BlockTribune
• Tesla’s Elon Musk Is Now Facing Investor Lawsuit – MoneyJournals
• Even Free Tokens Face Regulatory Heat as Coin Offerings Scrutinized – WSJ
• What’s Your Email Address? – Compliance Building

CFTC Press Releases

American Banker Law & Regulation

• 'Wash out the executive suite': Comments of the week
• House Democrat calls for hearing on banks' citizenship requirements
• Can this tech make banks better at spotting money launderers?
• FHA revises loss mitigation options for hurricane victims
• Senators’ warning to Fed: Relief for midsize banks better be real

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 and other regulators to create Global Financial Innovation Network
• Fed proposes revision of 'Capital Assessments and Stress Testing' information collection
• Civil investigative demand petition denied
• CFPB revises 'Supervision and Examination Manual'
• Warren requests delay on Kraninger nomination vote until requested information released

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

• 8.17.18 Your morning briefing
• Apple Pay's recent moves bode well for in-store payments
• Unpacking the baggage of legacy payments
• Credit unions' distributed ledger evolves into a platform
• Amex Band debuts for payments at US Open

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

• On The Money: US-China trade talks to resume | Mnuchin warns of more Turkey sanctions | How Turkey's financial crisis could roil the US | Senate GOP seeks tax law fixes
• Watchdog files criminal complaint against Ross over stock holdings
• DOJ releases emails of RBS bankers joking about crashing housing market before 2008
• Senate GOP urges non-legislative fixes for tax law
• Mnuchin: Turkey will face more sanctions if pastor not released 'quickly'

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

• Industry groups support CFTC proposal on swap dealer registration; watchdog calls it ‘Swiss cheese’
• Blockchain and the legal profession featured at Chicago-Kent law school conference
• ICI, SIFMA offer recommendations on proposed Reg BI
• SEC posts small entity compliance guide on scaled disclosure changes
• HM Treasury details financial services legislation approach to Brexit