SEC News Feed

• SEC Names Vanessa Countryman to Lead the Office of the Secretary
• Joint Statement on Opportunistic Strategies in the Credit Derivatives Market
• SEC Adopts Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Amends the Capital and Segregation Requirements for Broker-Dealers
• SEC Wins Jury Trial Against Broker Charged With Defrauding Customers
• SEC Charges Intelligence Communications Company and Top Executives With Defrauding Merger Investors

Securities Docket News Wire

• Acclaimed Mueller Prosecutor Andrew D. Goldstein Joins Cooley
• Ex-SAC Fund Manager Has Insider-Trading Plea Tossed by Judge – Bloomberg
• Walmart to pay $282 million to settle seven-year global corruption probe | Reuters
• SEC’s In-House Judge System Denies Access to Juries | ThinkAdvisor
• Elon Musk’s tweets prompt SEC official to call for guidelines on CEOs’ social media use – Los Angeles Times

CFTC Press Releases

American Banker Law & Regulation

• Why Washington mobilized so quickly against Facebook's crypto plans
• Embattled Fla. banking commissioner claims he was blackmailed by state officials
• State regulators expand multistate licensing process for fintechs
• Waters schedules hearings next month on Facebook, BB&T-SunTrust merger
• Hayward Bancshares is latest Wisconsin bank to find a buyer

DerivAlert Derivatives Regulation News

FINAlternatives Regulation News

• ERROR: Can't connect to www.finalternatives.com:80 (Bad hostname)

CCH Financial Reform News Center

• CFPB settles with company over private loan program for students
• OIG issues 'Semiannual Report to Congress'
• CFPB blog post discusses making and sticking to a budget
• Mortgage lender to pay $1.75M over alleged incorrect HMDA reporting
• CFPB requests renewal of information collection regarding institutions without deposit insurance

MyCorporateResource Financial Services

WebCPA Regulation Channel

Payments Source Regulation

• As digital payments take hold, AI can fill tech voids
• Why Washington mobilized so quickly against Facebook's crypto plans
• Health-care tech buyers plan payments makeovers
• Facebook must face lawsuit over 29 million-user data breach
• Banker’s wife part of organized crime group, government tells U.K. court

The BD/IA Regulator

• Self-Regulatory Organizations and the Constitutional Privilege Against Self-Incrimination
• 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

Reuters: Financial Regulatory Forum

The Hill: Banking/Financial Institutions

• On The Money: Sanders unveils plan to wipe $1.6T in student debt | How Sanders plan plays in rivalry with Warren | Treasury watchdog to probe delay of Harriet Tubman $20 bills | Trump says Fed 'blew it' on rate decision
• Congressional scorekeeper: Repealing SALT deduction cap would benefit high earners
• Sanders unveils student debt plan amid rivalry with Warren
• House panel to hold hearing on Facebook cryptocurrency project
• Treasury inspector general to probe delay of Harriet Tubman $20 bills

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

• SEC issues long-awaited final rules on capital, margin, and segregation requirements for security swap-based participants
• Legislators hear alarm bells in Facebook crypto announcement
• SEC adopts auditor independence rule covering lending relationships with clients
• Massachusetts to propose fiduciary standard from solicited comments
• Violations of the SOX whistleblower provision are not shareholder fraud under SOX