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

            2 results
            Search Narrowed by Text
            Search Terms

            Search Narrowed by Categories
            • Remove DOJ filter DOJ
            • Remove Money Service Business / Transmitter filter Money Service Business / Transmitter
            date:
            body of law:
            • AML Regulation Apply AML Regulation filter 2
            issuing jurisdiction:
            affected jurisdiction:
            author organization:
            • Remove DOJ filter DOJ
            • FinCEN Apply FinCEN filter 12
            • NYDFS Apply NYDFS filter 7
            • OFAC Apply OFAC filter 4
            • CFPB Apply CFPB filter 3
            • New York Apply New York filter 3
            • Treasury Apply Treasury filter 3
            • US Congress Apply US Congress filter 2
            • Comptroller Apply Comptroller filter 1
            • FDIC Apply FDIC filter 1
            • Fed. Res. Board / Banks Apply Fed. Res. Board / Banks filter 1
            • NCUA Apply NCUA filter 1
            • Trade / Industry Associations Apply Trade / Industry Associations filter 1
            sub-author:
            news type:
            • Enforcement News Apply Enforcement News filter 1
            • Legal / Regulatory News Apply Legal / Regulatory News filter 1
            regulated activities:
            • AML Compliance Apply AML Compliance filter 2
            • Registration Requirement Apply Registration Requirement filter 2
            regulated entities:
            • Remove Money Service Business / Transmitter filter Money Service Business / Transmitter
            • Foreign Entities Apply Foreign Entities filter 17
            • Foreign Governments Apply Foreign Governments filter 15
            • Banking Entities Apply Banking Entities filter 14
            • Regulatory Agencies Apply Regulatory Agencies filter 13
            • Commercial Companies Apply Commercial Companies filter 12
            • Issuers of Securities Apply Issuers of Securities filter 11
            • Traders / Investors / Counterparties Apply Traders / Investors / Counterparties filter 11
            • Banking Organizations Apply Banking Organizations filter 8
            • Adviser / CTA / CPO Apply Adviser / CTA / CPO filter 4
            • Broker-Dealers Apply Broker-Dealers filter 4
            • Swap Dealers / SBSDs Apply Swap Dealers / SBSDs filter 2
            • Accountants / Attorneys Apply Accountants / Attorneys filter 1
            • Creditors / Lenders Apply Creditors / Lenders filter 1
            • Investment Funds (SEC Exempt) Apply Investment Funds (SEC Exempt) filter 1
            • Investor Status Apply Investor Status filter 1
            • Rating Agencies Apply Rating Agencies filter 1
            • Whistleblowers Apply Whistleblowers filter 1
            sub-entity:
            regulated products:
            • Cryptocurrencies / ICOs Apply Cryptocurrencies / ICOs filter 1
            • April 15, 2021

              DOJ Charges Two Individuals with AML Violations Arising from International Financial Scheme

              The DOJ charged two individuals involved in an international financial scheme with operating an unlicensed money-transmitting business and failing to maintain adequate AML controls.
              Christian.Larson@cwt.com's picture
              Commentary by Christian Larson
            • October 21, 2020

              Bitcoin "Mixer" Operator Penalized by FinCEN for AML Violations

              FinCEN assessed a $60 million dollar penalty against an operator of two convertible virtual currency exchangers, or "mixers," for violations of Bank Secrecy Act registration, program, and reporting requirements.
              Christian.Larson@cwt.com's picture
              Commentary by Christian Larson

            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