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
      • 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
          • ESG / Climate Risk
          • Cannabis Finance
          • Commodity Options
          • Crypto and Initial Coin Offerings
          • Foreign Currency
          • 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
            • Regulatory Change
              • News
              • Regulatory Events
              • Change Management Tracker
              • Alerts
            • Sign in
            Advanced Search

            Fried Frank Daily Focus

            News & Headlines

            Receive our daily newsletter

            495 results
            Search Narrowed by Text
            Search Terms

            Search Narrowed by Categories
            • Remove SEC filter SEC
            • Remove European Union filter European Union
            • Remove US Government Research Entities filter US Government Research Entities
            • Remove Regulatory Agencies filter Regulatory Agencies
            • Remove CFTC filter CFTC
            • Remove Non-U.S. Regulators filter Non-U.S. Regulators
            • Remove United States filter United States
            date:
            body of law:
            • Securities Law Apply Securities Law filter 278
            • CEA Regulation Apply CEA Regulation filter 184
            • Banking Law Apply Banking Law filter 41
            • Privacy / Data Protection / Cybersecurity Apply Privacy / Data Protection / Cybersecurity filter 12
            • Accounting Matters Apply Accounting Matters filter 9
            • AML Regulation Apply AML Regulation filter 5
            • FCPA Apply FCPA filter 4
            • Administrative Law Apply Administrative Law filter 3
            • ERISA / Pension Apply ERISA / Pension filter 2
            • Commerce Apply Commerce filter 1
            • Insolvency Apply Insolvency filter 1
            • Insurance Law Apply Insurance Law filter 1
            • Intellectual Property Apply Intellectual Property filter 1
            • Sanctions Apply Sanctions filter 1
            issuing jurisdiction:
            • Remove United States filter United States
            • Remove European Union filter European Union
            • US - Federal Apply US - Federal filter 494
            • Europe Apply Europe filter 8
            • Global Apply Global filter 8
            • United Kingdom Apply United Kingdom filter 4
            • Canada Apply Canada filter 3
            • Germany Apply Germany filter 1
            • Latam Apply Latam filter 1
            • Mexico Apply Mexico filter 1
            • States Apply States filter 1
            affected jurisdiction:
            • Albania Apply Albania filter 3
            • United States Apply United States filter 2
            • US - Federal Apply US - Federal filter 2
            • China Apply China filter 1
            • Russia Apply Russia filter 1
            • South Africa Apply South Africa filter 1
            author organization:
            • Remove SEC filter SEC
            • Remove CFTC filter CFTC
            • Remove US Government Research Entities filter US Government Research Entities
            • Remove Non-U.S. Regulators filter Non-U.S. Regulators
            • US Congress Apply US Congress filter 136
            • Fed. Res. Board / Banks Apply Fed. Res. Board / Banks filter 69
            • CFPB Apply CFPB filter 43
            • Comptroller Apply Comptroller filter 41
            • President / White House Apply President / White House filter 41
            • FDIC Apply FDIC filter 33
            • Trade / Industry Associations Apply Trade / Industry Associations filter 27
            • Treasury Apply Treasury filter 26
            • GAO Apply GAO filter 25
            • FINRA Apply FINRA filter 20
            • US Federal Courts Apply US Federal Courts filter 20
            • FTC Apply FTC filter 14
            • DOJ Apply DOJ filter 13
            • FinCEN Apply FinCEN filter 12
            • MSRB Apply MSRB filter 12
            • FSOC Apply FSOC filter 10
            • NASAA Apply NASAA filter 10
            • OFR Apply OFR filter 9
            • NFA Apply NFA filter 8
            • NYDFS Apply NYDFS filter 8
            • CRS Apply CRS filter 7
            • New York Apply New York filter 7
            • DOL Apply DOL filter 5
            • Fried Frank Apply Fried Frank filter 4
            • NCUA Apply NCUA filter 4
            • News Orgs / Blogs Apply News Orgs / Blogs filter 4
            • Regulators' Associations Apply Regulators' Associations filter 3
            • Academics Apply Academics filter 2
            • FFIEC Apply FFIEC filter 2
            • FHFA Apply FHFA filter 2
            • PCAOB Apply PCAOB filter 2
            • SEC / CFTC Exchanges and Clearing Corps. Apply SEC / CFTC Exchanges and Clearing Corps. filter 2
            • Think Tanks Apply Think Tanks filter 2
            • Accounting Bodies Apply Accounting Bodies filter 1
            • Int. Organizations Apply Int. Organizations filter 1
            • IRS Apply IRS filter 1
            • OFAC Apply OFAC filter 1
            • Patent and Trademark Office Apply Patent and Trademark Office filter 1
            • Small Business Administration Apply Small Business Administration filter 1
            • States Apply States filter 1
            sub-author:
            • SEC Corp. Fin. Apply SEC Corp. Fin. filter 6
            • SEC Inv. Adv. Comm. Apply SEC Inv. Adv. Comm. filter 3
            • European Commission Apply European Commission filter 2
            • ISDA Apply ISDA filter 2
            • SEC Investor Advocate Apply SEC Investor Advocate filter 2
            • SEC OCIE Apply SEC OCIE filter 2
            • SEC Trading & Markets Apply SEC Trading & Markets filter 2
            • SIFMA Apply SIFMA filter 2
            • US Supreme Court Apply US Supreme Court filter 2
            • Bank of England Apply Bank of England filter 1
            • Coun. of Inst. Investors Apply Coun. of Inst. Investors filter 1
            • D.C. Cir. Apply D.C. Cir. filter 1
            • Energy Metro Desk Apply Energy Metro Desk filter 1
            • European Banking Authority Apply European Banking Authority filter 1
            • GAO Apply GAO filter 1
            • ICI Apply ICI filter 1
            • PCAOB Apply PCAOB filter 1
            • SEC Inv. Man. Apply SEC Inv. Man. filter 1
            • SEC Small Bus Advisory Apply SEC Small Bus Advisory filter 1
            news type:
            • Legal / Regulatory News Apply Legal / Regulatory News filter 465
            • Enforcement News Apply Enforcement News filter 30
            regulated activities:
            • Governance Apply Governance filter 199
            • Regulatory Oversight Apply Regulatory Oversight filter 76
            • Employee Matters Apply Employee Matters filter 44
            • Fintech Apply Fintech filter 35
            • Regulatory Reporting Apply Regulatory Reporting filter 33
            • Cross-Border Apply Cross-Border filter 32
            • Enforcement Procedures Apply Enforcement Procedures filter 30
            • Data Protection / Cybersecurity Apply Data Protection / Cybersecurity filter 27
            • Central Clearing Apply Central Clearing filter 23
            • Disclosures Apply Disclosures filter 23
            • Technology (not Cyber) Apply Technology (not Cyber) filter 22
            • Accounting and Audit Apply Accounting and Audit filter 17
            • Business Continuity Apply Business Continuity filter 17
            • Suitability and Consumer Protection Apply Suitability and Consumer Protection filter 17
            • Trading Apply Trading filter 15
            • Supervision / Compliance Apply Supervision / Compliance filter 11
            • Margining Apply Margining filter 10
            • Stress Testing Apply Stress Testing filter 10
            • Position Limits Apply Position Limits filter 9
            • Registration Requirement Apply Registration Requirement filter 8
            • Regulatory Process Apply Regulatory Process filter 8
            • Regulatory Structure Apply Regulatory Structure filter 8
            • Diversity / Discrimination Apply Diversity / Discrimination filter 7
            • Advice and Fiduciary Apply Advice and Fiduciary filter 6
            • Capital Apply Capital filter 5
            • Insider Trading Apply Insider Trading filter 5
            • Meetings Apply Meetings filter 5
            • Risk Management Apply Risk Management filter 5
            • Lending Apply Lending filter 4
            • Trade Reporting Apply Trade Reporting filter 4
            • AML Compliance Apply AML Compliance filter 3
            • Arbitration / Litigation Apply Arbitration / Litigation filter 3
            • Financial Recordkeeping & Reporting Apply Financial Recordkeeping & Reporting filter 3
            • Recordkeeping Apply Recordkeeping filter 3
            • Risk Assessment Apply Risk Assessment filter 3
            • Sales Apply Sales filter 3
            • Liquidity Requirements Apply Liquidity Requirements filter 2
            • Operations Apply Operations filter 2
            • Privacy Apply Privacy filter 2
            • Proxies / Voting Apply Proxies / Voting filter 2
            • Public Offerings Apply Public Offerings filter 2
            • Regulatory Fees Apply Regulatory Fees filter 2
            • Valuation and Appraisal Apply Valuation and Appraisal filter 2
            • Capital Structure Apply Capital Structure filter 1
            • Community Lending Apply Community Lending filter 1
            • Confirmations Apply Confirmations filter 1
            • Conflicts of Interest Apply Conflicts of Interest filter 1
            • Criminal Activity Apply Criminal Activity filter 1
            • Custody Apply Custody filter 1
            • Distribution Procedures Apply Distribution Procedures filter 1
            • Exchange Listing Apply Exchange Listing filter 1
            • Jurisdiction Apply Jurisdiction filter 1
            • Liquidation Apply Liquidation filter 1
            • Research Apply Research filter 1
            • Sanctions Compliance Apply Sanctions Compliance filter 1
            • Sec Loan / Repo / TBA Apply Sec Loan / Repo / TBA filter 1
            regulated entities:
            • Remove Regulatory Agencies filter Regulatory Agencies
            • Issuers of Securities Apply Issuers of Securities filter 561
            • Broker-Dealers Apply Broker-Dealers filter 521
            • Adviser / CTA / CPO Apply Adviser / CTA / CPO filter 444
            • Swap Dealers / SBSDs Apply Swap Dealers / SBSDs filter 362
            • Traders / Investors / Counterparties Apply Traders / Investors / Counterparties filter 362
            • Markets Apply Markets filter 288
            • Investment Funds (SEC Registered) Apply Investment Funds (SEC Registered) filter 237
            • FCMs and IBs Apply FCMs and IBs filter 211
            • Clearing Orgs. Apply Clearing Orgs. filter 160
            • Foreign Entities Apply Foreign Entities filter 112
            • Banking Entities Apply Banking Entities filter 91
            • Whistleblowers Apply Whistleblowers filter 80
            • Banking Organizations Apply Banking Organizations filter 76
            • Investment Funds (SEC Exempt) Apply Investment Funds (SEC Exempt) filter 68
            • Accountants / Attorneys Apply Accountants / Attorneys filter 64
            • Securities SROs Apply Securities SROs filter 50
            • Foreign Governments Apply Foreign Governments filter 31
            • Muni Advisors Apply Muni Advisors filter 31
            • SDRs / SBSDRs Apply SDRs / SBSDRs filter 30
            • Commercial Companies Apply Commercial Companies filter 27
            • State or Municipal Gov. Apply State or Municipal Gov. filter 27
            • RFDs / FDMs Apply RFDs / FDMs filter 23
            • Rating Agencies Apply Rating Agencies filter 21
            • FB / FTs Apply FB / FTs filter 10
            • Transfer Agents Apply Transfer Agents filter 9
            • Insurance Companies Apply Insurance Companies filter 8
            • Creditors / Lenders Apply Creditors / Lenders filter 6
            • Futures Association Apply Futures Association filter 4
            • Investor Status Apply Investor Status filter 2
            • LTMs Apply LTMs filter 2
            • Borrowers / Debtors Apply Borrowers / Debtors filter 1
            • Casinos Apply Casinos filter 1
            • Government Sponsored Enterprises Apply Government Sponsored Enterprises filter 1
            • Plans Apply Plans filter 1
            • Utilities Apply Utilities filter 1
            sub-entity:
            • SEC-Registered Issuers Apply SEC-Registered Issuers filter 11
            • Exchanges / Contract Markets Apply Exchanges / Contract Markets filter 5
            • Community Banks Apply Community Banks filter 3
            • Accredited Investor Apply Accredited Investor filter 2
            • SPAC Apply SPAC filter 2
            • BDCs Apply BDCs filter 1
            • ETFs Apply ETFs filter 1
            • Primary Dealers Apply Primary Dealers filter 1
            • SEFs / SBSEFs Apply SEFs / SBSEFs filter 1
            regulated products:
            • Swaps / SBS Apply Swaps / SBS filter 32
            • Cryptocurrencies / ICOs Apply Cryptocurrencies / ICOs filter 19
            • ESG Apply ESG filter 13
            • Securities Apply Securities filter 9
            • Energy Products Apply Energy Products filter 7
            • Ags Apply Ags filter 4
            • Commodity Apply Commodity filter 3
            • Futures Apply Futures filter 3
            • Investment Funds (as Regulated Product) Apply Investment Funds (as Regulated Product) filter 3
            • Municipal Securities Apply Municipal Securities filter 3
            • Indices Apply Indices filter 2
            • Market Data Apply Market Data filter 2
            • US Government Securities Apply US Government Securities filter 2
            • Cannabis Apply Cannabis filter 1
            • Debt Apply Debt filter 1
            • Equities Apply Equities filter 1
            • Insurance (as product) Apply Insurance (as product) filter 1
            • Minerals / Mining Apply Minerals / Mining filter 1
            • Patent Apply Patent filter 1
            • Real Estate / Mortgages Apply Real Estate / Mortgages filter 1
            • Structured Products (Converts) Apply Structured Products (Converts) filter 1
            • Wrap Fee Programs / Accounts Apply Wrap Fee Programs / Accounts filter 1
            • May 05, 2022

              CFTC Commissioner Johnson Names Initial Executive Staff

              CFTC Commissioner Kristin N. Johnson appointed Bruce Fekrat, Natasha Robinson and Lillian Cardona to her executive staff.
            • May 03, 2022

              SEC Expands Enforcement Unit Focused on Abuses in Crypto Markets

              The SEC added 20 new positions to the Division of Enforcements Crypto Assets and Cyber Unit. The Unit combats fraud and other abuses in crypto markets.
              ilan.graff@friedfrank.com's picture
              Commentary by Ilan T. Graff
            • April 27, 2022

              CFTC Commissioner Goldsmith Romero Appoints Policy Advisors

              CFTC Commissioner Christy Goldsmith Romero appointed Nora Flood and Phillip W. Raimondi as Senior Counsels and Policy Advisors.
            • April 25, 2022

              CFTC Chair Rostin Behnam Fills Key Staff Positions

              CFTC Chair Rostin Behnam appointed CFTC staff members to serve new roles within the Commission.
            • April 04, 2022

              SEC Commissioner Peirce Criticizes Regulatory Resistance to Innovation

              SEC Commissioner Hester M. Peirce pressed regulators to allow innovators greater market freedom, stating that "regulation needs to leave room for experimentation, tinkering, and, yes, failure."
              Steven.Lofchie@friedfrank.com's picture
              Commentary by Steven Lofchie
            • April 01, 2022

              CFTC Seeks Comment on Draft of Strategic Priorities through 2026

              In a 2022-2026 Strategic Plan, CFTC Chair Rostin Behnam highlighted "emerging trends transforming global derivatives markets" including "digital asset commodities, decentralized finance, and Environmental, Social, and Governance Investing."
            • March 31, 2022

              CFTC Chair Behnam Highlights Priorities in the Midst of "Transformative Change"

              CFTC Chair Rostin Behnam promised to "exercise utmost care, patience, and diligence" to address the "transformative change throughout our industry and the markets we oversee."
            • March 29, 2022

              Senate Confirms Four CFTC Commissioners

              The U.S. Senate confirmed Christy Goldsmith Romero, Kristin N. Johnson, Summer Kristine Mersinger, and Caroline D. Pham to serve as CFTC Commissioners.
              nihal.patel@friedfrank.com's picture
              Commentary by Nihal Patel
            • March 24, 2022

              SEC Appoints New Acting Director for the Division of Examinations

              SEC New York Regional Office Director Richard R. Best was appointed the new Acting Director of the Division of Examinations.
            • February 22, 2022

              Treasury Names New Acting Director of Office of Financial Research

              Treasury named James Martin as the new Acting Director of the Office of Financial Research . He starts on February 28, 2022.
            • Previous
            • 1
            • 2
            • 3
            • 4
            • 5
            • 6
            • 7
            • …
            • Next

            Request delivery of Fried Frank Regulatory Intelligence

            User menu

            • Terms of Use
            • Privacy
            Copyright @ 2022 Find Know Do; Fried Frank
            • Main menu
              • Topics
                • About News
                • 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
                • Glossaries
                • About Berkeley
                • 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
                • Expert Systems
                • Contributors
                • 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
                • Help
                • Products and Contracts
                  • ESG / Climate Risk
                  • Cannabis Finance
                  • Commodity Options
                  • Crypto and Initial Coin Offerings
                  • Foreign Currency
                  • 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
                • Purpose
                • 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
                • COVID-19 Patent Litigation Tracker
              • 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
                  • 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
                  • separator for AML
                  • 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
                  • Hart-Scott-Rodino
                  • Act
                  • HSR Rules
                  • HSR Guidance
                  • HSR - Introductory Guide I
                  • HSR - Introductory Guide II
                  • HSR: Back to Basics Workshop Transcript
                    • 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
              • Regulatory Change
                • News
                • Regulatory Events
                • Change Management Tracker
                • Alerts
              • Sign in
              • Account