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penalty amount (approximate):

disgorgement amount (approximate):

February 20, 2020

CFTC Votes to Propose Amendments to Swap Data Reporting Requirements

The CFTC proposed amendments to rules governing "swap data reporting, dissemination, and public reporting requirements."

Commentary by Nihal Patel
February 20, 2020

Attorney General William Barr Raises Concerns over ISP Immunity

U.S. Attorney General William P. Barr highlighted ongoing enforcement challenges resulting from immunity provisions under the Communications Decency Act that protect internet service providers from liability for the content of online speech.

Commentary by Joseph Moreno
February 20, 2020

CFTC Chair Heath Tarbert Highlights Hedging Exemptions in Proposed Position Limits Amendments

CFTC Chair Heath P. Tarbert highlighted key hedging exemptions in the recently proposed new position limits for physical commodity derivatives.

Commentary by Bob Zwirb
February 20, 2020

IRS Provides Guidance and Related Safe Harbor for Carbon Capture Tax Credit

The IRS provided guidance for businesses seeking to obtain carbon capture credits as a result of amendments made to the Bipartisan Budget Act of 2018.
February 20, 2020

MSRB Finalizes Enhancements to EMMA Website

The MSRB finalized an amendment to enhance the organization's Electronic Municipal Market Access system to more prominently display certain financial disclosures and related information.
February 20, 2020

OCC and FDIC Extend Comment Deadline for Proposed Revisions to CRA Regulations

The OCC and the FDIC extended the comment period for proposed revisions to regulations implementing the Community Reinvestment Act.
February 19, 2020

SEC Proposes Updating NMS Infrastructure and Expanding Available Market Data

The SEC proposed amendments to Regulation NMS that would expand the content of market data and modernize market data infrastructure.
February 19, 2020

SEC and PCAOB Warn of Impact of Coronavirus on Financial Reporting

SEC and Public Company Accounting Oversight Board leaders alerted market participants to potential impacts from the coronavirus on financial disclosure and reporting.
February 19, 2020

FINRA Proposed Enhancements to Continuing Education Requirements

FINRA requested comments on proposed enhancements to the continuing education requirements for securities industry professionals.
February 19, 2020

Data Encryption Startup Settles SEC Charges for Unregistered Offering of Digital Tokens

A data encryption startup settled SEC charges for registration failures involving the offering and selling of digital tokens.

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