Skip to main content
  • Topics
    • Broker-Dealers
      • Broker-Dealers
        • Overview
        • FINRA Materials
        • FINRA: Rule by Rule
        • Government Securities Dealers
        • Government Securities: Rule by Rule
        • Muni Advisors
        • Muni Securities and Dealers
        • MSRB Materials
        • MSRB Rules: Rule by Rule
        • 100+ More Broker-Dealer Topics
      • Commodity Exchange Act
        • Commodity Exchange Act
          • Overview
          • CFTC Supervision and CCO
          • Position Limits
          • Swap Materials
          • FCMs
          • FCM / IB Registration Requirement
          • BD and FCM Risk Assessment Rules
          • BD and FCM Subordination Agreements
          • BD and CEA Withdrawals of Capital
          • FCM Capital
          • FCMs and Swap Dealer Custody
          • More CEA Topics
          • Swaps and Swap Dealers
          • Margin for Uncleared Swaps
          • FCMs and Swap Dealer Custody
          • Swap Dealer and SBSD Capital
          • CPOs and CTAs
          • Disclosures
          • Recordkeeping
          • Registration Process
          • Reporting on Form PQR, and Form PR
      • Advisers, Funds and Plans
        • Advisers, Funds and Plans
          • Investment Advisers Act: By Section and By Rule
          • Investment Advisers Materials
          • Investment Funds Materials
          • Definition of Investment Adviser
          • ERISA
          • Municipal Advisors
          • State Securities Law
          • Securities Law Enforcement
          • 100+ More Adviser and Funds Topics
          • Investment Companies
          • Overview of Exemptions from Registration under the ICA
          • Capital Structure, Senior Securities, Liquidity
          • Custody Requirements
          • IA Information Walls and Codes of Ethics
          • IA Marketing Materials
          • Funds
          • Form PF Reporting Requirement for Private Funds
      • Banking
        • Banking
          • Banking Materials
          • CFPB Materials
          • CFPB Rule by Rule
          • FDIC Materials
          • Federal Reserve System Materials
          • NCUA Materials
          • OCC Materials
          • More Banking Topics
          • FRA 23A and 23B and Reg W
          • Community Reinvestment Act
          • Volcker
          • Truth in Savings
          • Capital Requirements
          • Enforcement Procedures
          • Money Service Businesses
      • Products and Contracts
        • Products and Contracts
          • Cannabis Finance
          • Commodity Options
          • Crypto and Initial Coin Offerings
          • Government Securities and Dealers
          • LIBOR and Indices
          • Municipal Securities and Dealers
          • Securities Lending
          • Securities Options
          • Security Futures Products
          • TBAs and the MSFTA
          • More Products and Contracts
          • Asset-Backed Securities
          • Overview
          • ABS Qualifying Residential Mortgage and Other Exempt Loans
          • BD Communications about CMOs
          • Credit Rating Agencies and Credit Ratings
          • Credit Risk Retention
          • Due Diligence Reports
          • ICA Section 3(c)(4), (5) and (6) Funds, Including REITs
          • LIBOR and Indices
          • Marketplace Lending
          • Regulation AB
          • TBAs and the MSFTA
      • Credit and Insolvency
        • Credit and Insolvency
          • Overview
          • BD Insolvency
          • FCM Insolvency
          • Insolvency of Banks
          • Protected Financial Contracts
          • Security Interests and UCC
        • Enforcement and Bad Acts
          • Enforcement and Bad Acts
            • Anti-Money Laundering
            • Cybersecurity and Data Protection
            • Disqualifications and Waivers
            • Foreign Corrupt Practices Act
            • Insider Trading
            • SEC and FINRA
            • Sanctions
            • Whistleblowers
          • Investors
            • Investors
              • Comm. on Foreign Investment in US ("CFIUS")
              • Hart-Scott-Rodino
              • SEA 13(f) Position Reporting
            • Issuers and Offerings
              • Issuers and Offerings
                • Conflict Minerals
                • FINRA Private Placement Rules
                • Issuer Repurchases Rule 10b-18
                • New Issue Allocations
                • Regulation FD (Fair Disclosure)
                • Regulation M: Trading in Connection with a Distribution
                • Securities Offerings
                • More Issuer and Offering Topics
                • SA Rule 144 and Rule 145
                • SA Rule 144A
                • SA Rule 701: Compensatory Securities Offerings
                • Securities Act Section 3 Exemptions from Securities
                • SA S 3(a)(2): Govs, Munis, Banks
                • SA S 3(a)(9): Exchange Offers
                • Securities Act Section 4 Transaction Exemptions
          • Documents
            • Securities
              • Securities
                • Statutes
                • Investment Advisers Act
                • Investment Company Act
                • Securities Act
                • Securities Exchange Act
                • Securities Investor Protection Act
                • Trust Indenture Act
                • Rules
                • Investment Advisers Act
                • Investment Company Act
                • Securities Act
                • Securities Exchange Act
                • SIPC Rules
                • Trust Indenture Act Rules
                • SEC Administrative Materials
                • SEC Federal Registers
                • SEC Enforcement Releases
                • SEC No-Action Letters
                • SEC Forms
                • Securities SROs
                • FINRA Rules
                • MSRB Rules
                • FINRA / MSRB Notices
                • SRO Federal Registers
                • More Securities Laws, Rules and Other Documents
            • Commodity Exchange Act
              • Commodity Exchange Act
                • CEA and Related Rules
                • CEA
                • CFTC Rules
                • NFA Rules
                • CEA Judicial Decisions
                • Supreme Court and Circuit Court Cases
                • More CEA-Related Documents
                • CFTC Documents
                • CFTC Fact Sheets
                • CEA FAQs
                • CEA Federal Registers
                • CFTC Guidance on Cross-Border Futures Transactions
                • CFTC Guidance on Cross-Border Swaps
                • CFTC Orders
                • CFTC No-Action Letters
                • CEA Speeches, Statements and Testimony
                • CEA Studies and Reports
                • NFA Documents
                • NFA Notices
                • NFA Regulatory Guidance
            • Federal Banking
              • Federal Banking
                • Statutes
                • Antitying Act
                • Bank Holding Company Act of 1956
                • Community Reinvestment Act
                • Consumer Credit Protection Statutes
                  • Truth in Lending Act
                  • Consumer Leasing Act
                  • Fair Credit Reporting Act
                  • Equal Credit Opportunity Act
                  • Fair Debt Collection Practices Act
                  • Electronic Fund Transfers Act
                • Federal Deposit Insurance Act
                • Federal Reserve Act
                • International Banking Act
                • National Banking Act
                • Real Estate Settlement Procedures Act
                • More Banking Laws, Rules and Other Documents
                • Rules
                • CFPB Rules
                • Comptroller Rules
                • FDIC Rules
                • FRB Rules
                • Government Securities Act Rules
                • Bank Regulators
                • CFPB Materials
                • Comptroller Materials
                • FDIC Materials
                • FHFA Materials
                • FRS/FRB Materials
                • NCUA Materials
            • ERISA
              • ERISA
                • Statutes
                • Employee Retirement Income Security Act
                • Internal Revenue Code Provisions Related to ERISA
                • Rules
                • ERISA Rules
                • Internal Revenue Regulations Related to ERISA
                • Other Documents
                • DOL Federal Registers
                • DOL FAQs
                • DOL Glossaries
                • Pension Benefit Guaranty Corporation Federal Registers
            • Credit
              • Credit
                • Bankruptcy Laws
                • Bankruptcy Code
                • Federal Deposit Insurance Corporation Improvement Act
                • SIPA
                • Securities Investor Protection Act
                • Securities Investor Protection Corporation Rules
                • SIPC Letters and Interpretations
                • SIPC Annual Reports
                • State Law
                • New York Statute
                • Other Documents
                • Bankruptcy Basics​
                • Hague Convention
                • Court Decisions
                • NYDFS Letters on Bank Insolvency
            • AML, FCPA and Sanctions
              • AML, FCPA and Sanctions
                • AML
                • Bank Secrecy Act
                • Bank Secrecy Act Rules
                • NY Penal Law, Article 470
                • FinCEN Advisories
                • FinCEN FAQs
                • FinCEN Federal Registers
                • More AML Laws, Rules and Other Documents
                • FCPA
                • 15 USC 78dd-1
                • 15 USC 78m
                • More FCPA Laws, Rules and Other Documents
                • Sanctions
                • Statutes Relevant to Sanctions
                • Sanctions Rule
                • OFAC Federal Registers
                • Executive Orders
                • More Sanctions Laws, Rules and Other Documents
            • Antitrust and CFIUS
              • Antitrust and CFIUS
                • Hart-Scott-Rodino
                • Act
                • HSR Rules
                • HSR Guidance
                • HSR - Introductory Guide I
                • HSR - Introductory Guide II
                • HSR: Back to Basics Workshop Transcript
                • The Most Frequently Asked HSR Questions
                • CFIUS
                • Defense Production Act
                • Rules
                • Federal Registers
                • Executive Orders
            • Statutes, Rules and Public Laws
              • Statutes, Rules and Public Laws
                • All Statutes
                • All Rules
                • All Public Laws
              • Analytic Materials
                • Analytic Materials
                  • Cabinet Materials
                  • Broker-Dealer Guide
                  • CEA Guide
                  • Hedge Fund Guide
                  • Pamphlets
                  • Anti-Money Laundering Regulation for Financial Institutions
                  • Blue Sky Law Registration Requirements
                  • Guide to Federal Income Tax of Hedge Fund
                  • Section 23A for Broker-Dealers
                  • Quick Guide to U.S. Economic Sanctions
                  • More Legal Writings
                  • Governmental Materials
                  • SEC Compliance Guides
                  • SEC Guide to Broker-Dealer Registration
                  • SEC Guide to ICA Registration
                  • SEC Guidance for Newly-Registered Investment Advisers
                  • FRB Compliance Guides
                  • FRB Supervision and Regulation Letters
                  • Comptroller Handbooks
                  • Comptroller Interpretive Letters
                  • FDIC Financial Institution Letters
              • Individuals and Organizations
                • Individuals and Organizations
                  • Speeches, Statements & Testimony
                  • Elizabeth A. Warren
                  • Steven T. Mnuchin
                  • J. Christopher Giancarlo
                  • Jerome H. Powell
                  • Randal Quarles
                  • Walter Jay Clayton
                  • Hester Peirce
                  • Kara M. Stein
                  • Lael Brainard
                  • Robert Jackson
                  • All Individuals
                  • Reports
                  • Alternative Reference Rates Committee
                  • Congressional Research Service
                  • Financial Stability Oversight Council
                  • Futures Industry Association
                  • Government Accountability Office
                  • Investment Company Institute
                  • Managed Funds Association
                  • North American Securities Administrators Association
                  • Office of Financial Research
                  • Securities Industry and Financial Markets Association
            • Events
            • News
            • Tools
              • Glossaries
              • Interactive Applications
              • Change Management Tracker
              • COVID-19 Patent Litigation Tracker
            • About
              • About News
              • About Berkeley
              • Contributors
              • Help
              • Purpose
            • Sign in
            Advanced Search

            Not just data.
            Information in context.

            News & Headlines

            Receive our daily newsletter

            Search Terms
            date:
            body of law:
            • Securities Law Apply Securities Law filter 4377
            • CEA Regulation Apply CEA Regulation filter 3564
            • Banking Law Apply Banking Law filter 2213
            • AML Regulation Apply AML Regulation filter 337
            • Sanctions Apply Sanctions filter 241
            • Contracts Apply Contracts filter 234
            • Tax Apply Tax filter 149
            • Privacy / Data Protection / Cybersecurity Apply Privacy / Data Protection / Cybersecurity filter 134
            • Insolvency Apply Insolvency filter 110
            • FCPA Apply FCPA filter 96
            • ERISA / Pension Apply ERISA / Pension filter 92
            • Accounting Matters Apply Accounting Matters filter 81
            • Antitrust Apply Antitrust filter 64
            • Energy Apply Energy filter 62
            • Commerce Apply Commerce filter 42
            • CFIUS Apply CFIUS filter 25
            • Corporate Law Apply Corporate Law filter 15
            • Intellectual Property Apply Intellectual Property filter 14
            • Administrative Law Apply Administrative Law filter 11
            • Insurance Law Apply Insurance Law filter 8
            • Security Interests Apply Security Interests filter 6
            • Legislative Process Apply Legislative Process filter 4
            • FATCA Apply FATCA filter 1
            issuing jurisdiction:
            • United States Apply United States filter 15581
            • US - Federal Apply US - Federal filter 15438
            • Global Apply Global filter 267
            • States Apply States filter 169
            • Europe Apply Europe filter 126
            • New York Apply New York filter 82
            • European Union Apply European Union filter 67
            • United Kingdom Apply United Kingdom filter 55
            • Delaware Apply Delaware filter 19
            • Asia Apply Asia filter 11
            • California Apply California filter 8
            • Canada Apply Canada filter 7
            • Massachusetts Apply Massachusetts filter 5
            • Africa Apply Africa filter 3
            • China Apply China filter 3
            • Japan Apply Japan filter 3
            • Maine Apply Maine filter 3
            • Maryland Apply Maryland filter 3
            • New Mexico Apply New Mexico filter 3
            • Wyoming Apply Wyoming filter 3
            • Alabama Apply Alabama filter 2
            • Connecticut Apply Connecticut filter 2
            • Florida Apply Florida filter 2
            • Germany Apply Germany filter 2
            • Latam Apply Latam filter 2
            • Mexico Apply Mexico filter 2
            • Nevada Apply Nevada filter 2
            • New Jersey Apply New Jersey filter 2
            • Oregon Apply Oregon filter 2
            • Texas Apply Texas filter 2
            • Alaska Apply Alaska filter 1
            • Arizona Apply Arizona filter 1
            • Arkansas Apply Arkansas filter 1
            • Australia Apply Australia filter 1
            • Colorado Apply Colorado filter 1
            • France Apply France filter 1
            • Georgia Apply Georgia filter 1
            • Hawaii Apply Hawaii filter 1
            • Hong Kong Apply Hong Kong filter 1
            • Idaho Apply Idaho filter 1
            • Illinois Apply Illinois filter 1
            • Indiana Apply Indiana filter 1
            • Iowa Apply Iowa filter 1
            • Kansas Apply Kansas filter 1
            • Kentucky Apply Kentucky filter 1
            • Korea Apply Korea filter 1
            • Michigan Apply Michigan filter 1
            • Mississippi Apply Mississippi filter 1
            • Nebraska Apply Nebraska filter 1
            • Oklahoma Apply Oklahoma filter 1
            • Singapore Apply Singapore filter 1
            • South Carolina Apply South Carolina filter 1
            • South Dakota Apply South Dakota filter 1
            • Spain Apply Spain filter 1
            • Tennessee Apply Tennessee filter 1
            • Vermont Apply Vermont filter 1
            • Washington Apply Washington filter 1
            • West Virginia Apply West Virginia filter 1
            • Wisconsin Apply Wisconsin filter 1
            author organization:
            • SEC Apply SEC filter 1772
            • CFTC Apply CFTC filter 1100
            • FINRA Apply FINRA filter 936
            • US Congress Apply US Congress filter 653
            • Fed. Res. Board / Banks Apply Fed. Res. Board / Banks filter 544
            • Trade / Industry Associations Apply Trade / Industry Associations filter 432
            • FDIC Apply FDIC filter 351
            • Comptroller Apply Comptroller filter 341
            • Cadwalader Apply Cadwalader filter 317
            • MSRB Apply MSRB filter 239
            • OFAC Apply OFAC filter 223
            • NFA Apply NFA filter 209
            • CFPB Apply CFPB filter 206
            • NASAA Apply NASAA filter 174
            • US Government Research Entities Apply US Government Research Entities filter 151
            • Regulators' Associations Apply Regulators' Associations filter 142
            • DOJ Apply DOJ filter 125
            • SEC / CFTC Exchanges and Clearing Corps. Apply SEC / CFTC Exchanges and Clearing Corps. filter 102
            • FinCEN Apply FinCEN filter 101
            • US Federal Courts Apply US Federal Courts filter 100
            • Treasury Apply Treasury filter 96
            • President / White House Apply President / White House filter 85
            • OFR Apply OFR filter 65
            • CFTC Contract Markets Apply CFTC Contract Markets filter 62
            • CME Apply CME filter 61
            • FTC Apply FTC filter 58
            • NYDFS Apply NYDFS filter 58
            • New York Apply New York filter 50
            • Non-U.S. Regulators Apply Non-U.S. Regulators filter 42
            • News Orgs / Blogs Apply News Orgs / Blogs filter 35
            • NCUA Apply NCUA filter 31
            • DOL Apply DOL filter 30
            • GAO Apply GAO filter 30
            • IRS Apply IRS filter 29
            • FSOC Apply FSOC filter 28
            • Securities Exchanges Apply Securities Exchanges filter 25
            • CRS Apply CRS filter 24
            • FHFA Apply FHFA filter 23
            • FFIEC Apply FFIEC filter 20
            • Academics Apply Academics filter 12
            • PCAOB Apply PCAOB filter 12
            • Private Companies Apply Private Companies filter 11
            • Think Tanks Apply Think Tanks filter 10
            • NYSE Apply NYSE filter 9
            • NASDAQ Stock Market Apply NASDAQ Stock Market filter 8
            • SEC Clearing Agencies Apply SEC Clearing Agencies filter 8
            • Farm Credit Administration Apply Farm Credit Administration filter 6
            • States Apply States filter 6
            • CFIUS Apply CFIUS filter 5
            • Financial Accounting Standards Board Apply Financial Accounting Standards Board filter 5
            • NYSE Arca Apply NYSE Arca filter 5
            • Cboe BYX Exchange Apply Cboe BYX Exchange filter 4
            • Cboe BZX Exchange Apply Cboe BZX Exchange filter 4
            • DTCC Apply DTCC filter 4
            • NYSE American Apply NYSE American filter 4
            • California Apply California filter 3
            • Cboe EDGA Exchange Apply Cboe EDGA Exchange filter 3
            • NASDAQ PHLX Apply NASDAQ PHLX filter 3
            • Options Clearing Corp. Apply Options Clearing Corp. filter 3
            • Patent and Trademark Office Apply Patent and Trademark Office filter 3
            • Cboe Apply Cboe filter 2
            • Cboe EDGX Exchange Apply Cboe EDGX Exchange filter 2
            • Law Firm Apply Law Firm filter 2
            • NASDAQ BX Apply NASDAQ BX filter 2
            • NASDAQ ISE Apply NASDAQ ISE filter 2
            • Pres. Working Group Apply Pres. Working Group filter 2
            • SIPC Apply SIPC filter 2
            • BOX Options Exchange LLC Apply BOX Options Exchange LLC filter 1
            • Cboe C2 Options Exchange Apply Cboe C2 Options Exchange filter 1
            • CBOE Futures Exchange Apply CBOE Futures Exchange filter 1
            • ICE Clear Europe Apply ICE Clear Europe filter 1
            • Int. Organizations Apply Int. Organizations filter 1
            • Miami International Securities Exchange LLC Apply Miami International Securities Exchange LLC filter 1
            • Nasdaq GEMX Apply Nasdaq GEMX filter 1
            • NIST Apply NIST filter 1
            • NYMEX Apply NYMEX filter 1
            • State Courts Apply State Courts filter 1
            • The Federal Register Apply The Federal Register filter 1
            news type:
            • Legal / Regulatory News Apply Legal / Regulatory News filter 13991
            • Enforcement News Apply Enforcement News filter 2081
            regulated activities:
            • Trading Apply Trading filter 1441
            • Disclosures Apply Disclosures filter 772
            • Regulatory Reporting Apply Regulatory Reporting filter 651
            • Suitability and Consumer Protection Apply Suitability and Consumer Protection filter 599
            • Trade Reporting Apply Trade Reporting filter 592
            • Supervision / Compliance Apply Supervision / Compliance filter 531
            • Governance Apply Governance filter 526
            • Capital Apply Capital filter 485
            • Distribution Procedures Apply Distribution Procedures filter 472
            • Registration Requirement Apply Registration Requirement filter 469
            • Employee Matters Apply Employee Matters filter 462
            • Cross-Border Apply Cross-Border filter 456
            • Meetings Apply Meetings filter 431
            • Regulatory Oversight Apply Regulatory Oversight filter 377
            • Business Continuity Apply Business Continuity filter 359
            • Margining Apply Margining filter 342
            • Data Protection / Cybersecurity Apply Data Protection / Cybersecurity filter 329
            • Central Clearing Apply Central Clearing filter 290
            • Position Limits Apply Position Limits filter 286
            • Lending Apply Lending filter 278
            • Fintech Apply Fintech filter 276
            • AML Compliance Apply AML Compliance filter 257
            • Recordkeeping Apply Recordkeeping filter 251
            • Custody Apply Custody filter 240
            • Accounting and Audit Apply Accounting and Audit filter 211
            • Sales Apply Sales filter 211
            • Stress Testing Apply Stress Testing filter 197
            • Technology (not Cyber) Apply Technology (not Cyber) filter 195
            • Insider Trading Apply Insider Trading filter 194
            • Registration Process Apply Registration Process filter 186
            • Risk Management Apply Risk Management filter 176
            • Financial Recordkeeping & Reporting Apply Financial Recordkeeping & Reporting filter 156
            • Liquidation Apply Liquidation filter 153
            • Advice and Fiduciary Apply Advice and Fiduciary filter 142
            • Marketing Apply Marketing filter 134
            • Enforcement Procedures Apply Enforcement Procedures filter 133
            • Sanctions Compliance Apply Sanctions Compliance filter 130
            • Regulatory Fees Apply Regulatory Fees filter 129
            • Liquidity Requirements Apply Liquidity Requirements filter 122
            • Conflicts of Interest Apply Conflicts of Interest filter 120
            • Ownership Apply Ownership filter 115
            • Proxies / Voting Apply Proxies / Voting filter 114
            • Arbitration / Litigation Apply Arbitration / Litigation filter 112
            • Account Handling Apply Account Handling filter 102
            • Jurisdiction Apply Jurisdiction filter 98
            • Operations Apply Operations filter 96
            • Research Apply Research filter 80
            • Diversity / Discrimination Apply Diversity / Discrimination filter 78
            • Activity Limits Apply Activity Limits filter 73
            • Public Offerings Apply Public Offerings filter 70
            • Just and Equitable / Fair Dealing Apply Just and Equitable / Fair Dealing filter 69
            • Sec Loan / Repo / TBA Apply Sec Loan / Repo / TBA filter 63
            • Confirmations Apply Confirmations filter 60
            • Fees to Customers Apply Fees to Customers filter 56
            • M&A and Corporate Form Transactions Apply M&A and Corporate Form Transactions filter 56
            • Valuation and Appraisal Apply Valuation and Appraisal filter 53
            • Privacy Apply Privacy filter 52
            • Close-Out Apply Close-Out filter 51
            • Exchange and Tender Offers Apply Exchange and Tender Offers filter 49
            • Exchange Listing Apply Exchange Listing filter 46
            • Criminal Activity Apply Criminal Activity filter 41
            • Capital Structure Apply Capital Structure filter 37
            • Account Statements Apply Account Statements filter 36
            • Trade Documentation Apply Trade Documentation filter 36
            • Counterparty Types Apply Counterparty Types filter 30
            • Contract Terms Apply Contract Terms filter 29
            • Payments Apply Payments filter 27
            • Credit Reporting Apply Credit Reporting filter 26
            • Waiver Apply Waiver filter 25
            • Debt Collection Apply Debt Collection filter 24
            • Community Lending Apply Community Lending filter 23
            • Branch Offices Apply Branch Offices filter 22
            • Funds Transfer Apply Funds Transfer filter 20
            • Regulatory Process Apply Regulatory Process filter 20
            • Issuer Dividends and Repurchases Apply Issuer Dividends and Repurchases filter 16
            • Insurance / Bonding Apply Insurance / Bonding filter 15
            • Clearing Orgs. Apply Clearing Orgs. filter 12
            • Stimulus Apply Stimulus filter 9
            • Regulatory Structure Apply Regulatory Structure filter 8
            • Leasing Apply Leasing filter 7
            • Bank Transactions and Startups Apply Bank Transactions and Startups filter 6
            • Adviser / CTA / CPO Apply Adviser / CTA / CPO filter 5
            • Banking Organizations Apply Banking Organizations filter 5
            • Reserve Requirements Apply Reserve Requirements filter 4
            • Broker-Dealers Apply Broker-Dealers filter 3
            • Complaints Apply Complaints filter 3
            • Banking Entities Apply Banking Entities filter 2
            • Plans Apply Plans filter 2
            • Corporate Form Apply Corporate Form filter 1
            • Exempt Securities: SA Section 3 Apply Exempt Securities: SA Section 3 filter 1
            • Hedging Apply Hedging filter 1
            • Offering Documents Apply Offering Documents filter 1
            • SA Section 3(a)(3) (Current transactions) Apply SA Section 3(a)(3) (Current transactions) filter 1
            regulated entities:
            • Broker-Dealers Apply Broker-Dealers filter 2318
            • Adviser / CTA / CPO Apply Adviser / CTA / CPO filter 1255
            • FCMs and IBs Apply FCMs and IBs filter 1092
            • Banking Entities Apply Banking Entities filter 930
            • Regulatory Agencies Apply Regulatory Agencies filter 909
            • Issuers of Securities Apply Issuers of Securities filter 864
            • Swap Dealers / SBSDs Apply Swap Dealers / SBSDs filter 765
            • Traders / Investors / Counterparties Apply Traders / Investors / Counterparties filter 651
            • Banking Organizations Apply Banking Organizations filter 641
            • Markets Apply Markets filter 547
            • Investment Funds (SEC Registered) Apply Investment Funds (SEC Registered) filter 417
            • Foreign Entities Apply Foreign Entities filter 297
            • Clearing Orgs. Apply Clearing Orgs. filter 285
            • Investment Funds (SEC Exempt) Apply Investment Funds (SEC Exempt) filter 248
            • Muni Advisors Apply Muni Advisors filter 216
            • Securities SROs Apply Securities SROs filter 187
            • Foreign Governments Apply Foreign Governments filter 126
            • Commercial Companies Apply Commercial Companies filter 124
            • Whistleblowers Apply Whistleblowers filter 123
            • RFDs / FDMs Apply RFDs / FDMs filter 91
            • Rating Agencies Apply Rating Agencies filter 76
            • State or Municipal Gov. Apply State or Municipal Gov. filter 72
            • Accountants / Attorneys Apply Accountants / Attorneys filter 59
            • Creditors / Lenders Apply Creditors / Lenders filter 57
            • SDRs Apply SDRs filter 53
            • Insurance Companies Apply Insurance Companies filter 48
            • Plans Apply Plans filter 38
            • Money Service Business / Transmitter Apply Money Service Business / Transmitter filter 27
            • Futures Association Apply Futures Association filter 22
            • Investor Status Apply Investor Status filter 20
            • FB / FTs Apply FB / FTs filter 14
            • LTMs Apply LTMs filter 14
            • Transfer Agents Apply Transfer Agents filter 14
            • Borrowers / Debtors Apply Borrowers / Debtors filter 9
            • Casinos Apply Casinos filter 6
            • Fiduciary Apply Fiduciary filter 6
            • Administrator Apply Administrator filter 2
            • Sponsor Apply Sponsor filter 2
            • Government Sponsored Enterprises Apply Government Sponsored Enterprises filter 1
            • Utilities Apply Utilities filter 1
            regulated products:
            • Swaps / SBS Apply Swaps / SBS filter 1647
            • Municipal Securities Apply Municipal Securities filter 618
            • Futures Apply Futures filter 324
            • Cryptocurrencies / ICOs Apply Cryptocurrencies / ICOs filter 285
            • Debt Apply Debt filter 272
            • Securities Apply Securities filter 256
            • Real Estate / Mortgages Apply Real Estate / Mortgages filter 213
            • Equities Apply Equities filter 206
            • ABS Apply ABS filter 180
            • Investment Funds (as Regulated Product) Apply Investment Funds (as Regulated Product) filter 165
            • Indices Apply Indices filter 158
            • Options Apply Options filter 140
            • FX Apply FX filter 134
            • Energy Products Apply Energy Products filter 108
            • ESG Apply ESG filter 73
            • Penny Stocks / Small Caps Apply Penny Stocks / Small Caps filter 64
            • US Government Securities Apply US Government Securities filter 55
            • Ags Apply Ags filter 52
            • Bank Deposits (CDs) Apply Bank Deposits (CDs) filter 49
            • Foreign Products Apply Foreign Products filter 43
            • Insurance Related Securities (Annuities) Apply Insurance Related Securities (Annuities) filter 36
            • Cannabis Apply Cannabis filter 34
            • Security Futures / Prod. Apply Security Futures / Prod. filter 34
            • Qualified Financial Contracts Apply Qualified Financial Contracts filter 32
            • Structured Products (Converts) Apply Structured Products (Converts) filter 26
            • Minerals / Mining Apply Minerals / Mining filter 25
            • Metals Apply Metals filter 19
            • Credit Cards Apply Credit Cards filter 16
            • Exempt Securities: SA Section 3 Apply Exempt Securities: SA Section 3 filter 16
            • Insurance (as product) Apply Insurance (as product) filter 14
            • EB-5 Program Apply EB-5 Program filter 12
            • Direct Participations Apply Direct Participations filter 11
            • Depository Receipts (ADRs / GDRs) Apply Depository Receipts (ADRs / GDRs) filter 10
            • Market Data Apply Market Data filter 7
            • Patent Apply Patent filter 7
            • Checks Apply Checks filter 6
            • Wrap Fee Programs / Accounts Apply Wrap Fee Programs / Accounts filter 6
            • Forwards Apply Forwards filter 4
            • Commodity Apply Commodity filter 3
            • Copyright Apply Copyright filter 3
            • Hybrids Apply Hybrids filter 3
            • Trademark Apply Trademark filter 3
            • Employer Securities / Property Apply Employer Securities / Property filter 2
            • Plan Assets Apply Plan Assets filter 1
            • Trade Secret Apply Trade Secret filter 1
            • February 25, 2021

              SEC to Update Guidance on Climate Change-Related Disclosure

              SEC Acting Chair Allison Herren Lee directed the SEC Division of Corporation Finance to review and update its 2010 guidance on climate change-related disclosure in public company filings.
              Steven.Lofchie@cwt.com's picture
              Commentary by Steven Lofchie
            • February 25, 2021

              Gas Exploration Company and CEO Settle SEC Charges for Undisclosed CEO Perquisites

              A gas exploration company and its former CEO settled SEC charges for failing to disclose certain related person transactions and perquisites as part of the CEO's compensation.
              Kyle.DeYoung@cwt.com's picture
              Commentary by Kyle DeYoung
            • February 25, 2021

              SEC Awards $9.2 Million to Whistleblower for Related DOJ Actions

              The SEC issued an award of more than $9.2 million to a whistleblower who provided original information to the SEC that led to two successful related actions by the DOJ.
              lex.urban@cwt.com's picture
              Commentary by Lex Urban
            • February 25, 2021

              SIFMA Argues CAT Should Be Liable for Data Breaches

              In a new report, SIFMA continued to object to a FINRA-proposed amendment that would hold industry members liable for a Consolidated Audit Trail system breach.
              Steven.Lofchie@cwt.com's picture
              Commentary by Steven Lofchie
            • February 25, 2021

              IOSCO Proposes Next Steps for Improved Sustainability Reporting

              IOSCO reviewed its Sustainable Finance Task Force disclosure recommendations and proposed next steps "to improve the consistency, comparability, and reliability of sustainability reporting, with an initial focus on climate change-related risks and opportunities."
            • February 24, 2021

              U.S. House Financial Services Committee Considers Bill on Fair Lending

              The U.S. House Financial Services Subcommittee on Oversight and Investigations considered proposed legislation that would bolster the CFPB's enforcement against discrimination by lenders.
            • February 24, 2021

              CFPB to Delay Compliance Date for Qualified Mortgage Rule

              The CFPB stated that it expects to delay the July 1, 2021 mandatory compliance date of the General Qualified Mortgage Rule and is considering whether to revoke or amend the "Seasoned QM" Final Rule.
            • February 24, 2021

              FASB Proposes Implementation Guides for 2021 U.S. GAAP Financial Reporting Taxonomy

              The Financial Accounting Standards Board proposed two Implementation Guides for the 2021 U.S. GAAP Financial Reporting Taxonomy.
            • February 24, 2021

              Firm Settles FINRA Charges for Failing to Safeguard Nonpublic Customer Information

              A firm settled FINRA charges for introducing representatives the firm was recruiting to a third-party vendor so as to obtain customer nonpublic personal information, in violation of the privacy policies of the representatives' previous employers.
            • February 24, 2021

              Broker-Dealer Settles FINRA Charges for Failure to Implement Risk Management Controls

              A broker-dealer settled FINRA charges for failing to establish controls and supervisory procedures reasonably designed to ensure compliance with the Market Access Rule.
            • February 24, 2021

              Associations Urge Extension of Modified Supplementary Leverage Ratio

              SIFMA, the American Bankers Association and the Financial Services Forum urged the Federal Reserve Board to extend a temporary interim final rule amending the Supplementary Leverage Ratio.
            • February 23, 2021

              SEC Commissioner Peirce Reaffirms Agency Mission in Light of GameStop

              In a speech on the digital economy, SEC Commissioner Hester M. Peirce emphasized both the constancy of the regulatory mission of the agency and the need for regulators to adapt their rules, and even their attitudes, so that investors can benefit from the improvements.
              Steven.Lofchie@cwt.com's picture
              Commentary by Steven Lofchie
            • February 23, 2021

              SIFMA Highlights Negative Consequences of Proposed Reimposition of New York State Stock Transfer Tax

              In a new whitepaper, SIFMA detailed the potential negative implications of legislation that would reimpose a New York State Stock Transfer Tax.
              Steven.Lofchie@cwt.com's picture
              Commentary by Steven Lofchie
            • February 23, 2021

              NYDFS Reports on Investigation into Facebook's Transmission of Sensitive Data

              A New York State Department of Financial Services investigation found that Facebook routinely obtained sensitive data that was collected through consumers' use of third-party applications.
            • February 23, 2021

              CRS Considers Implications of Congressional Review Act "Lookback Provisions" for 117th Congress

              The Congressional Research Service considered the application of the Congressional Review Act "lookback" provisions to final rules adopted in the last months of the Trump administration.
            • February 23, 2021

              OFAC Sanctions Two Members of Burma's State Administration Council

              OFAC sanctioned two Burmese military officers for their connection to the military apparatus responsible for the February 1 coup.
            • February 23, 2021

              Virtual Currency Platform Settles NY AG Charges for Unlawful Trading

              An online virtual currency trading platform entered into a settlement agreement with the Attorney General of the State of New York for misrepresenting the company's losses and falsely claiming that the currency was backed by the U.S. dollar.
            • February 23, 2021

              NFA Board of Directors Re-elects Chair and Vice Chair

              The NFA Board of Directors re-elected Maureen C. Downs to serve as Chair for a one-year term and Don Thompson to serve as Vice Chair.
            • February 22, 2021

              SBA Expands Availability of PPP Loans

              The Small Business Administration made targeted changes to the Paycheck Protection Program to promote access for women-owned and minority-owned businesses and underserved communities.
              kendra.wharton@cwt.com's picture
              Commentary by Kendra Wharton
            • February 22, 2021

              CFPB and States Sue Company for Predatory Practices Targeting Immigrants

              The CFPB and state attorneys general of New York, Massachusetts and Virginia jointly sued a company and its owners for alleged predatory lending practices that primarily targeted non-English speaking immigrants.
              Rachel.Rodman@cwt.com's picture
              Commentary by Rachel Rodman
            • February 22, 2021

              Firm Settles FINRA Charges for Failing to Maintain Minimum Net Capital

              A Texas-based firm settled FINRA charges for conducting a securities business while failing to maintain its required minimum net capital.
            • February 22, 2021

              FRB Governor Describes Uneven Economic Recovery

              Citing the July 2020 results of a Survey of Household Economics and Decisionmaking, Federal Reserve Board Governor Michelle W. Bowman described the uneven economic recovery from the COVID-19 pandemic.
            • February 19, 2021

              FRB Expands "Netting" Protection Eligibility for Financial Institutions

              The Federal Reserve Board adopted a final rule that expands the number of financial institutions that fall under the "netting" provisions of the Federal Deposit Insurance Corporation Improvement Act of 1991.
            • February 19, 2021

              FRB Governor Describes Progress in Developing Climate-Related Risk Framework

              Federal Reserve Board Governor Lael Brainard described challenges and solutions for incorporating climate-related risk assessments into supervisory frameworks.
            • February 19, 2021

              SEC and New York Attorney General Charge Digital Asset Trading Company with Registration Violations

              The SEC and the New York Attorney General charged a digital asset trading company and its CEO with executing an unregistered, unexempt securities offering.
            • Previous
            • 1
            • 2
            • 3
            • 4
            • 5
            • 6
            • 7
            • …
            • Next

            Request delivery of the Cadwalader Cabinet Newsletter.

            User menu

            • Attorney Advertising
            • Terms of Use
            • Privacy
            2008-2021
            • Main menu
              • Topics
                • Broker-Dealers
                  • Overview
                  • FINRA Materials
                  • FINRA: Rule by Rule
                  • Government Securities Dealers
                  • Government Securities: Rule by Rule
                  • Muni Advisors
                  • Muni Securities and Dealers
                  • MSRB Materials
                  • MSRB Rules: Rule by Rule
                  • 100+ More Broker-Dealer Topics
                  • Separator for Broker-Dealer
                • Commodity Exchange Act
                  • Overview
                  • CFTC Supervision and CCO
                  • Position Limits
                  • Swap Materials
                  • FCMs
                  • FCM / IB Registration Requirement
                  • BD and FCM Risk Assessment Rules
                  • BD and FCM Subordination Agreements
                  • BD and CEA Withdrawals of Capital
                  • FCM Capital
                  • FCMs and Swap Dealer Custody
                  • More CEA Topics
                  • Separator for Commodity
                  • Swaps and Swap Dealers
                  • Margin for Uncleared Swaps
                  • FCMs and Swap Dealer Custody
                  • Swap Dealer and SBSD Capital
                  • CPOs and CTAs
                  • Disclosures
                  • Recordkeeping
                  • Registration Process
                  • Reporting on Form PQR, and Form PR
                • Advisers, Funds and Plans
                  • Investment Advisers Act: By Section and By Rule
                  • Investment Advisers Materials
                  • Investment Funds Materials
                  • Definition of Investment Adviser
                  • ERISA
                  • Municipal Advisors
                  • State Securities Law
                  • Securities Law Enforcement
                  • 100+ More Adviser and Funds Topics
                  • Separator for Advisers and Funds
                  • Investment Companies
                  • Overview of Exemptions from Registration under the ICA
                  • Capital Structure, Senior Securities, Liquidity
                  • Custody Requirements
                  • IA Information Walls and Codes of Ethics
                  • IA Marketing Materials
                  • Funds
                  • Form PF Reporting Requirement for Private Funds
                • Banking
                  • Banking Materials
                  • CFPB Materials
                  • CFPB Rule by Rule
                  • FDIC Materials
                  • Federal Reserve System Materials
                  • NCUA Materials
                  • OCC Materials
                  • More Banking Topics
                  • Separator for Banking
                  • FRA 23A and 23B and Reg W
                  • Community Reinvestment Act
                  • Volcker
                  • Truth in Savings
                  • Capital Requirements
                  • Enforcement Procedures
                  • Money Service Businesses
                • Products and Contracts
                  • Cannabis Finance
                  • Commodity Options
                  • Crypto and Initial Coin Offerings
                  • Government Securities and Dealers
                  • LIBOR and Indices
                  • Municipal Securities and Dealers
                  • Securities Lending
                  • Securities Options
                  • Security Futures Products
                  • TBAs and the MSFTA
                  • More Products and Contracts
                  • Separator for Products and Contracts
                  • Asset-Backed Securities
                  • Overview
                  • ABS Qualifying Residential Mortgage and Other Exempt Loans
                  • BD Communications about CMOs
                  • Credit Rating Agencies and Credit Ratings
                  • Credit Risk Retention
                  • Due Diligence Reports
                  • ICA Section 3(c)(4), (5) and (6) Funds, Including REITs
                  • LIBOR and Indices
                  • Marketplace Lending
                  • Regulation AB
                  • TBAs and the MSFTA
                • Credit and Insolvency
                  • Overview
                  • BD Insolvency
                  • FCM Insolvency
                  • Insolvency of Banks
                  • Protected Financial Contracts
                  • Security Interests and UCC
                • Enforcement and Bad Acts
                  • Anti-Money Laundering
                  • Cybersecurity and Data Protection
                  • Disqualifications and Waivers
                  • Foreign Corrupt Practices Act
                  • Insider Trading
                  • SEC and FINRA
                  • Sanctions
                  • Whistleblowers
                • Investors
                  • Comm. on Foreign Investment in US ("CFIUS")
                  • Hart-Scott-Rodino
                  • SEA 13(f) Position Reporting
                • Issuers and Offerings
                  • Conflict Minerals
                  • FINRA Private Placement Rules
                  • Issuer Repurchases Rule 10b-18
                  • New Issue Allocations
                  • Regulation FD (Fair Disclosure)
                  • Regulation M: Trading in Connection with a Distribution
                  • Securities Offerings
                  • More Issuer and Offering Topics
                  • Separator for Issuers
                  • SA Rule 144 and Rule 145
                  • SA Rule 144A
                  • SA Rule 701: Compensatory Securities Offerings
                  • Securities Act Section 3 Exemptions from Securities
                  • SA S 3(a)(2): Govs, Munis, Banks
                  • SA S 3(a)(9): Exchange Offers
                  • Securities Act Section 4 Transaction Exemptions
              • Documents
                • Securities
                  • Statutes
                  • Investment Advisers Act
                  • Investment Company Act
                  • Securities Act
                  • Securities Exchange Act
                  • Securities Investor Protection Act
                  • Trust Indenture Act
                  • Rules
                  • Investment Advisers Act
                  • Investment Company Act
                  • Securities Act
                  • Securities Exchange Act
                  • SIPC Rules
                  • Trust Indenture Act Rules
                  • separator for securities
                  • SEC Administrative Materials
                  • SEC Federal Registers
                  • SEC Enforcement Releases
                  • SEC No-Action Letters
                  • SEC Forms
                  • Securities SROs
                  • FINRA Rules
                  • MSRB Rules
                  • FINRA / MSRB Notices
                  • SRO Federal Registers
                  • More Securities Laws, Rules and Other Documents
                • Commodity Exchange Act
                  • CEA and Related Rules
                  • CEA
                  • CFTC Rules
                  • NFA Rules
                  • CEA Judicial Decisions
                  • Supreme Court and Circuit Court Cases
                  • More CEA-Related Documents
                  • Separator for Commodities
                  • CFTC Documents
                  • CFTC Fact Sheets
                  • CEA FAQs
                  • CEA Federal Registers
                  • CFTC Guidance on Cross-Border Futures Transactions
                  • CFTC Guidance on Cross-Border Swaps
                  • CFTC Orders
                  • CFTC No-Action Letters
                  • CEA Speeches, Statements and Testimony
                  • CEA Studies and Reports
                  • NFA Documents
                  • NFA Notices
                  • NFA Regulatory Guidance
                • Federal Banking
                  • Statutes
                  • Antitying Act
                  • Bank Holding Company Act of 1956
                  • Community Reinvestment Act
                  • Consumer Credit Protection Statutes
                    • Truth in Lending Act
                    • Consumer Leasing Act
                    • Fair Credit Reporting Act
                    • Equal Credit Opportunity Act
                    • Fair Debt Collection Practices Act
                    • Electronic Fund Transfers Act
                  • Federal Deposit Insurance Act
                  • Federal Reserve Act
                  • International Banking Act
                  • National Banking Act
                  • Real Estate Settlement Procedures Act
                  • More Banking Laws, Rules and Other Documents
                  • separator for banking
                  • Rules
                  • CFPB Rules
                  • Comptroller Rules
                  • FDIC Rules
                  • FRB Rules
                  • Government Securities Act Rules
                  • Bank Regulators
                  • CFPB Materials
                  • Comptroller Materials
                  • FDIC Materials
                  • FHFA Materials
                  • FRS/FRB Materials
                  • NCUA Materials
                • ERISA
                  • Statutes
                  • Employee Retirement Income Security Act
                  • Internal Revenue Code Provisions Related to ERISA
                  • Rules
                  • ERISA Rules
                  • Internal Revenue Regulations Related to ERISA
                  • Separator for ERISA
                  • Other Documents
                  • DOL Federal Registers
                  • DOL FAQs
                  • DOL Glossaries
                  • Pension Benefit Guaranty Corporation Federal Registers
                • Credit
                  • Bankruptcy Laws
                  • Bankruptcy Code
                  • Federal Deposit Insurance Corporation Improvement Act
                  • SIPA
                  • Securities Investor Protection Act
                  • Securities Investor Protection Corporation Rules
                  • SIPC Letters and Interpretations
                  • SIPC Annual Reports
                  • separator for credit
                  • State Law
                  • New York Statute
                  • Other Documents
                  • Bankruptcy Basics​
                  • Hague Convention
                  • Court Decisions
                  • NYDFS Letters on Bank Insolvency
                • AML, FCPA and Sanctions
                  • AML
                  • NASAA
                  • Bank Secrecy Act
                  • Uniform Securities Act
                  • Bank Secrecy Act Rules
                  • Uniform Securities Act (1956), As Amended
                  • Model Rules: Advisers
                  • Model Rules: Broker-Dealers
                  • NY Penal Law, Article 470
                  • Model Rules: Offerings
                  • Delaware
                  • FinCEN Advisories
                  • Delaware General Corporation Law
                  • FinCEN FAQs
                  • FinCEN Federal Registers
                  • Separator for state law
                  • More AML Laws, Rules and Other Documents
                  • New York Statutes
                  • Martin Act
                  • separator for AML
                  • FCPA
                  • Requirement of Written Agreement
                  • 15 USC 78dd-1
                  • Anti-Money Laundering
                  • 15 USC 78m
                  • New York Rules and Interpretations
                  • More FCPA Laws, Rules and Other Documents
                  • Virtual Currencies Regulation
                  • Sanctions
                  • NYDFS Letters on Bank Insolvency
                  • Statutes Relevant to Sanctions
                  • Sanctions Rule
                  • OFAC Federal Registers
                  • Executive Orders
                  • More Sanctions Laws, Rules and Other Documents
                • Antitrust and CFIUS
                  • Hart-Scott-Rodino
                  • Act
                  • HSR Rules
                  • HSR Guidance
                  • HSR - Introductory Guide I
                  • HSR - Introductory Guide II
                  • HSR: Back to Basics Workshop Transcript
                    • FTC Announces 2017 Thresholds for Merger Control Filings Under the HSR Act and Interlocking Directorates Under the Clayton Act
                    • A “Sound Basis” Exists for Revising the HSR Act’s Investment-Only Exemption
                  • The Most Frequently Asked HSR Questions
                  • separator for antitrust
                  • CFIUS
                  • Defense Production Act
                  • Rules
                  • Federal Registers
                  • Executive Orders
                • Statutes, Rules and Public Laws
                  • All Statutes
                  • All Rules
                  • All Public Laws
                  • separator for statutes
                • Analytic Materials
                  • Cabinet Materials
                  • Broker-Dealer Guide
                    • Introduction
                    • What is a Security?
                    • Registration Requirement
                    • How to Register
                    • Employees and APs
                    • Customers
                    • Communications
                    • Research
                    • Trading
                    • Capital Requirements
                    • Custody
                    • ERISA
                    • Insolvency of Broker-Dealers
                    • Internal Investigations
                    • Margin and Credit
                    • Non-U.S. Broker-Dealers
                    • Records, Reports and Inspections
                    • Supervision
                    • Insider Trading
                  • CEA Guide
                    • Introduction to the CEA
                    • What Is a Swap and Other Jurisdictional Questions
                    • What Is a Pool; CPO/CTA Registration Requirement
                    • Application for CPO/CTA Registration
                    • Trading
                    • Margin
                    • Supervision
                    • Non-U.S. Pools
                    • Non-U.S. FCMs and Futures
                    • Insolvency
                    • Appendices
                  • Hedge Fund Guide
                    • Introduction
                    • Documentation
                    • Adviser Registration Requirement
                    • Adviser Registration Process
                    • Issuer Exemptions Under the ICA and Exchange Act
                    • Securities Act and State Registration Exemptions
                    • Broker-Dealer and other Sales Issues
                    • Communications
                    • Trading
                    • Ownership and Custody
                    • Margin and Credit
                    • Records, Reports, and Inspections
                    • Supervision and Code of Ethics
                    • ERISA
                    • Relationships with Banks
                  • Pamphlets
                  • Anti-Money Laundering Regulation for Financial Institutions
                  • Blue Sky Law Registration Requirements
                  • Guide to Federal Income Tax of Hedge Fund
                  • Section 23A for Broker-Dealers
                  • Quick Guide to U.S. Economic Sanctions
                  • More Legal Writings
                  • separator for legal writing
                  • Governmental Materials
                  • SEC Compliance Guides
                  • SEC Guide to Broker-Dealer Registration
                  • SEC Guide to ICA Registration
                  • SEC Guidance for Newly-Registered Investment Advisers
                  • FRB Compliance Guides
                  • FRB Supervision and Regulation Letters
                  • Comptroller Handbooks
                  • Comptroller Interpretive Letters
                  • FDIC Financial Institution Letters
                • Individuals and Organizations
                  • Speeches, Statements & Testimony
                  • White House / President
                  • Elizabeth A. Warren
                  • Executive Orders
                  • Memoranda
                  • Steven T. Mnuchin
                  • News
                  • J. Christopher Giancarlo
                  • Regulatory Guidance
                  • Jerome H. Powell
                  • Statutes
                  • Glossary
                  • Randal Quarles
                  • News
                  • Walter Jay Clayton
                  • Hester Peirce
                  • Speeches, Statements & Testimony
                  • Studies and Reports
                  • Kara M. Stein
                  • Lael Brainard
                  • Robert Jackson
                  • All Individuals
                  • Separator for government
                  • Reports
                  • Alternative Reference Rates Committee
                  • Congressional Research Service
                  • Financial Stability Oversight Council
                  • Futures Industry Association
                  • Government Accountability Office
                  • Investment Company Institute
                  • Managed Funds Association
                  • North American Securities Administrators Association
                  • Office of Financial Research
                  • Securities Industry and Financial Markets Association
              • Events
              • News
              • Tools
                • Glossaries
                • Interactive Applications
                • Change Management Tracker
                • COVID-19 Patent Litigation Tracker
              • About
                • About News
                • About Berkeley
                • Contributors
                • Help
                • Purpose
              • Sign in
              • Account