SEC News Feed

• Silicon Valley Company Settles Fraud Charge for Misstating Returns to Investors
• SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers on June 27, 2019
• Sara Cortes and David Bartels Named Deputy Chief Counsels of the Division of Investment Management
• SEC Charges Former Woodbridge Directors of Investment With Fraud
• SEC Issues Agenda for April 15 Meeting of the Fixed Income Market Structure Advisory Committee

Securities Docket News Wire

• After the Bust, Are Bitcoins More Like Tulip Mania or the Internet? – The New York Times
• Facebook Names State Department’s Newstead as General Counsel
• Elizabeth Warren Wants to Make It Easier to Prosecute Executives – The New York Times
• Meet Andrew Yang, the pro-bitcoin presidential candidate | CryptoSlate
• Well, That Didn’t Take Long: Lyft Hit with IPO-Related Securities Suit | The D&O Diary

CFTC Press Releases

American Banker Law & Regulation

• Synovus struggles to win back investors despite early success integrating FCB
• Fifth Third's commercial loan growth helps boost 1Q earnings
• LendingClub to close its small-business lending unit
• BofA’s Bessant on responsible AI, cyberattacks and data encryption
• Card issuers go social; Calabria vows to push for GSE overhaul

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 seeks renewal of 'Interstate Land Sales Full Disclosure Act' information collection
• FDIC considers easier living will rule for banks, thrifts
• Brown urges FSOC to address risks in leveraged loan market
• Agencies tell Warren, Brown that Wells Fargo has not satisfied consent order obligations
• Fed, FDIC propose modifying resolution plan requirements for U.S., foreign banks

MyCorporateResource Financial Services

WebCPA Regulation Channel

Payments Source Regulation

• More cooperation's needed to battle fraud's channel migration
• Resolve brings B2B net payment terms to e-commerce
• For faster B2B payments to advance, recipients must opt in
• 4.23.19 Your morning briefing
• Rapid rise of mobile money apps has come with risk

The BD/IA Regulator

• 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
• Beware of Texting While Advising: OCIE Issues an Electronic Messaging Risk Alert

Reuters: Financial Regulatory Forum

The Hill: Banking/Financial Institutions

• Pence to pitch trade deal during trip to Michigan: report
• Pence hasn't released any tax returns since becoming VP: report
• On The Money: Cain withdraws from Fed consideration | Says he didn't want 'pay cut' | Trump sues to block subpoena for financial records | Dems plot next move in Trump tax-return battle
• K Street boom extends under Trump, House Dems
• Cain says he withdrew from Fed consideration because of 'pay cut'

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

• Cybersecurity Docket panel features discussion on how to deal with cyber breaches
• ISS Analytics releases report on 2019 U.S. executive compensation trends
• CFTC’s EEMAC focuses on major developments in shale oil and liquid natural gas markets
• Cornerstone finds uptick in “core” accounting case filings, settlements
• New Jersey is second state to propose uniform fiduciary standard