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March 13, 2019

CFTC Chair J. Christopher Giancarlo Reviews Key Issues on Agency's Agenda

CFTC Chair J. Christopher Giancarlo reviewed key items of the agency's agenda, including swaps market reform, cooperation with international regulators and upcoming regulatory proposals.

Commentary / Nihal Patel
March 13, 2019

SEC Answers Questions on the "Escheatment Process"

In an Investor Bulletin, the SEC provided information as to the escheatment process for investment accounts.
March 12, 2019

Treasury Undersecretary Sigal Mandelker Details TFI AML/CFT Efforts

U.S. Treasury Undersecretary for Terrorism and Financial Intelligence Sigal Mandelker detailed the Division's efforts to combat money laundering and terrorist financing.
March 12, 2019

FDIC Chair Jelena McWilliams Considers Revisions to the Volcker Rule

FDIC Chair Jelena McWilliams described the need to better define the scope of the Volcker Rule "so that both bankers and supervisors have clear rules of the road." She also weighed in on recent legislation, FinTech and improved international coordination.
March 12, 2019

CFTC to Revise NFA-Related Registration Form

The CFTC will revise the application form for registration as an entity engaged in specified business in the derivatives market.
March 12, 2019

FRB Governor Lael Brainard Seeks Greater Clarity for CRA Assessments

Federal Reserve Board Governor Lael Brainard emphasized the need to clarify the current assessment area definition under the Community Reinvestment Act.
March 12, 2019

FINRA Proposes Amendments to CAB Individual Qualification and Registration Rules

FINRA proposed amendments to cross-reference the qualification, registration and continuing education of associated persons provisions with the Capital Acquisition Broker rules.
March 12, 2019

Federal Register: FRB Requests Feedback on Amending Depository Institution Reserve Requirements

The Federal Reserve Board request for feedback on amending Regulation D was published in the Federal Register.
March 12, 2019

NASAA Expands Electronic Filing Depository System Functionality

The North American Securities Administrators Association expanded its Electronic Filing Depository System to accommodate the electronic notice filings for unit investment trusts (Form NF-UIT).
March 12, 2019

SEC Sets Fee Rates Applicable to Securities Transactions for 2019

The SEC established the fee rates applicable to most securities transactions.

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