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
        • Exchange Materials
        • SEC Materials
    • 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
        • 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

          17115 results
          Search Narrowed by Text
          Search Terms

          Search Narrowed by Categories
          • Remove US - Federal filter US - Federal
          date:
          body of law:
          • Securities Law Apply Securities Law filter 5131
          • CEA Regulation Apply CEA Regulation filter 3532
          • Banking Law Apply Banking Law filter 2466
          • AML Regulation Apply AML Regulation filter 417
          • Sanctions Apply Sanctions filter 377
          • Contracts Apply Contracts filter 230
          • Privacy / Data Protection / Cybersecurity Apply Privacy / Data Protection / Cybersecurity filter 154
          • Tax Apply Tax filter 140
          • ERISA / Pension Apply ERISA / Pension filter 105
          • Insolvency Apply Insolvency filter 103
          • FCPA Apply FCPA filter 94
          • Accounting Matters Apply Accounting Matters filter 91
          • Antitrust Apply Antitrust filter 69
          • Commerce Apply Commerce filter 59
          • Energy Apply Energy filter 40
          • Administrative Law Apply Administrative Law filter 25
          • CFIUS Apply CFIUS filter 23
          • Intellectual Property Apply Intellectual Property filter 17
          • Insurance Law Apply Insurance Law filter 14
          • Corporate Law Apply Corporate Law filter 2
          • Legislative Process Apply Legislative Process filter 2
          • Security Interests Apply Security Interests filter 2
          • FATCA Apply FATCA filter 1
          issuing jurisdiction:
          • Remove US - Federal filter US - Federal
          • United States Apply United States filter 17261
          • Global Apply Global filter 306
          • States Apply States filter 173
          • Europe Apply Europe filter 129
          • New York Apply New York filter 91
          • European Union Apply European Union filter 64
          • United Kingdom Apply United Kingdom filter 61
          • Asia Apply Asia filter 12
          • California Apply California filter 8
          • Canada Apply Canada filter 7
          • Massachusetts Apply Massachusetts filter 6
          • Africa Apply Africa filter 4
          • China Apply China filter 4
          • Delaware Apply Delaware filter 3
          • Germany Apply Germany filter 3
          • Japan Apply Japan filter 3
          • Maine Apply Maine filter 3
          • Maryland Apply Maryland filter 3
          • New Jersey Apply New Jersey filter 3
          • New Mexico Apply New Mexico filter 3
          • Wyoming Apply Wyoming filter 3
          • Alabama Apply Alabama filter 2
          • Arkansas Apply Arkansas filter 2
          • Connecticut Apply Connecticut filter 2
          • Florida Apply Florida filter 2
          • Iowa Apply Iowa filter 2
          • Kentucky Apply Kentucky filter 2
          • Latam Apply Latam filter 2
          • Mexico Apply Mexico filter 2
          • Nebraska Apply Nebraska filter 2
          • Nevada Apply Nevada filter 2
          • Oregon Apply Oregon filter 2
          • Texas Apply Texas filter 2
          • Washington Apply Washington filter 2
          • West Virginia Apply West Virginia filter 2
          • Wisconsin Apply Wisconsin filter 2
          • Alaska Apply Alaska filter 1
          • Arizona Apply Arizona 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
          • Indiana Apply Indiana filter 1
          • Israel Apply Israel filter 1
          • Kansas Apply Kansas filter 1
          • Korea Apply Korea filter 1
          • Michigan Apply Michigan filter 1
          • Mississippi Apply Mississippi 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
          • Tennessee Apply Tennessee filter 1
          • Vermont Apply Vermont filter 1
          affected jurisdiction:
          • Iran Apply Iran filter 91
          • Russia Apply Russia filter 86
          • China Apply China filter 85
          • Venezuela Apply Venezuela filter 62
          • Ukraine Apply Ukraine filter 59
          • Albania Apply Albania filter 48
          • North Korea Apply North Korea filter 34
          • Syria Apply Syria filter 27
          • European Union Apply European Union filter 23
          • United Kingdom Apply United Kingdom filter 22
          • Cuba Apply Cuba filter 21
          • US - Federal Apply US - Federal filter 21
          • United States Apply United States filter 16
          • Hong Kong Apply Hong Kong filter 15
          • Canada Apply Canada filter 14
          • Sudan Apply Sudan filter 13
          • Burma (Myanmar) Apply Burma (Myanmar) filter 12
          • Brazil Apply Brazil filter 11
          • Belarus Apply Belarus filter 10
          • India Apply India filter 10
          • Indonesia Apply Indonesia filter 10
          • Turkey Apply Turkey filter 10
          • Japan Apply Japan filter 9
          • Panama Apply Panama filter 9
          • Yemen Apply Yemen filter 9
          • Ethiopia Apply Ethiopia filter 8
          • Mexico Apply Mexico filter 8
          • Afghanistan Apply Afghanistan filter 7
          • Australia Apply Australia filter 7
          • France Apply France filter 7
          • Germany Apply Germany filter 7
          • Singapore Apply Singapore filter 7
          • Iraq Apply Iraq filter 6
          • Nicaragua Apply Nicaragua filter 6
          • United Arab Emirates Apply United Arab Emirates filter 6
          • Ecuador Apply Ecuador filter 5
          • Italy Apply Italy filter 5
          • Lebanon Apply Lebanon filter 5
          • Pakistan Apply Pakistan filter 4
          • South Korea Apply South Korea filter 4
          • Spain Apply Spain filter 4
          • Switzerland Apply Switzerland filter 4
          • Algeria Apply Algeria filter 3
          • Bangladesh Apply Bangladesh filter 3
          • Bosnia and Herzegovina Apply Bosnia and Herzegovina filter 3
          • Colombia Apply Colombia filter 3
          • Ghana Apply Ghana filter 3
          • Mauritius Apply Mauritius filter 3
          • Netherlands Apply Netherlands filter 3
          • Saudi Arabia Apply Saudi Arabia filter 3
          • Sri Lanka Apply Sri Lanka filter 3
          • Taiwan Apply Taiwan filter 3
          • Trinidad and Tobago Apply Trinidad and Tobago filter 3
          • Tunisia Apply Tunisia filter 3
          • Vanuatu Apply Vanuatu filter 3
          • Angola Apply Angola filter 2
          • Bahamas Apply Bahamas filter 2
          • Barbados Apply Barbados filter 2
          • Botswana Apply Botswana filter 2
          • Burundi Apply Burundi filter 2
          • Guinea Apply Guinea filter 2
          • Haiti Apply Haiti filter 2
          • Iceland Apply Iceland filter 2
          • Israel Apply Israel filter 2
          • Jamaica Apply Jamaica filter 2
          • Libya Apply Libya filter 2
          • Malaysia Apply Malaysia filter 2
          • Mali Apply Mali filter 2
          • Micronesia Apply Micronesia filter 2
          • Mongolia Apply Mongolia filter 2
          • Somalia Apply Somalia filter 2
          • South Africa Apply South Africa filter 2
          • South Sudan Apply South Sudan filter 2
          • Tanzania Apply Tanzania filter 2
          • Thailand Apply Thailand filter 2
          • Uganda Apply Uganda filter 2
          • Vietnam Apply Vietnam filter 2
          • Antigua and Barbuda Apply Antigua and Barbuda filter 1
          • Bahrain Apply Bahrain filter 1
          • Belgium Apply Belgium filter 1
          • Belize Apply Belize filter 1
          • Bolivia Apply Bolivia filter 1
          • Burkina Faso Apply Burkina Faso filter 1
          • Cambodia Apply Cambodia filter 1
          • Cayman Islands Apply Cayman Islands filter 1
          • Comoros Apply Comoros filter 1
          • Cyprus Apply Cyprus filter 1
          • Denmark Apply Denmark filter 1
          • Dominican Republic Apply Dominican Republic filter 1
          • Egypt Apply Egypt filter 1
          • Equatorial Guinea Apply Equatorial Guinea filter 1
          • Gambia Apply Gambia filter 1
          • Greece Apply Greece filter 1
          • Hungary Apply Hungary filter 1
          • Ireland Apply Ireland filter 1
          • Jordan Apply Jordan filter 1
          • Kenya Apply Kenya filter 1
          • Laos Apply Laos filter 1
          • Latvia Apply Latvia filter 1
          • Luxembourg Apply Luxembourg filter 1
          • Macedonia Apply Macedonia filter 1
          • Malta Apply Malta filter 1
          • Marshall Islands Apply Marshall Islands filter 1
          • Montenegro Apply Montenegro filter 1
          • Morocco Apply Morocco filter 1
          • Nepal Apply Nepal filter 1
          • New Zealand Apply New Zealand filter 1
          • Nigeria Apply Nigeria filter 1
          • Papua New Guinea Apply Papua New Guinea filter 1
          • Peru Apply Peru filter 1
          • Philippines Apply Philippines filter 1
          • Poland Apply Poland filter 1
          • Senegal Apply Senegal filter 1
          • Seychelles Apply Seychelles filter 1
          • Slovenia Apply Slovenia filter 1
          • Sweden Apply Sweden filter 1
          • Uzbekistan Apply Uzbekistan filter 1
          • Zimbabwe Apply Zimbabwe filter 1
          author organization:
          • SEC Apply SEC filter 2298
          • CFTC Apply CFTC filter 1258
          • FINRA Apply FINRA filter 1225
          • US Congress Apply US Congress filter 738
          • Fed. Res. Board / Banks Apply Fed. Res. Board / Banks filter 664
          • FDIC Apply FDIC filter 457
          • Comptroller Apply Comptroller filter 430
          • Trade / Industry Associations Apply Trade / Industry Associations filter 429
          • OFAC Apply OFAC filter 336
          • CFPB Apply CFPB filter 282
          • MSRB Apply MSRB filter 281
          • NFA Apply NFA filter 258
          • US Government Research Entities Apply US Government Research Entities filter 197
          • SEC / CFTC Exchanges and Clearing Corps. Apply SEC / CFTC Exchanges and Clearing Corps. filter 174
          • DOJ Apply DOJ filter 166
          • Treasury Apply Treasury filter 161
          • NASAA Apply NASAA filter 156
          • FinCEN Apply FinCEN filter 149
          • President / White House Apply President / White House filter 132
          • Fried Frank Apply Fried Frank filter 126
          • US Federal Courts Apply US Federal Courts filter 110
          • Securities Exchanges Apply Securities Exchanges filter 81
          • FTC Apply FTC filter 76
          • CFTC Contract Markets Apply CFTC Contract Markets filter 66
          • OFR Apply OFR filter 66
          • Regulators' Associations Apply Regulators' Associations filter 65
          • CME Apply CME filter 64
          • NCUA Apply NCUA filter 59
          • CRS Apply CRS filter 49
          • DOL Apply DOL filter 41
          • GAO Apply GAO filter 39
          • FSOC Apply FSOC filter 36
          • News Orgs / Blogs Apply News Orgs / Blogs filter 35
          • NYSE Arca Apply NYSE Arca filter 34
          • FHFA Apply FHFA filter 31
          • IRS Apply IRS filter 28
          • New York Apply New York filter 28
          • FFIEC Apply FFIEC filter 27
          • NYSE Apply NYSE filter 25
          • NYDFS Apply NYDFS filter 22
          • NYSE American Apply NYSE American filter 22
          • NASDAQ Stock Market Apply NASDAQ Stock Market filter 20
          • Non-U.S. Regulators Apply Non-U.S. Regulators filter 19
          • SEC Clearing Agencies Apply SEC Clearing Agencies filter 18
          • Cboe BZX Exchange Apply Cboe BZX Exchange filter 14
          • DTCC Apply DTCC filter 14
          • PCAOB Apply PCAOB filter 13
          • Private Companies Apply Private Companies filter 13
          • Academics Apply Academics filter 12
          • Cboe BYX Exchange Apply Cboe BYX Exchange filter 11
          • States Apply States filter 11
          • Think Tanks Apply Think Tanks filter 10
          • NASDAQ PHLX Apply NASDAQ PHLX filter 9
          • Cboe EDGA Exchange Apply Cboe EDGA Exchange filter 8
          • Cboe EDGX Exchange Apply Cboe EDGX Exchange filter 8
          • Farm Credit Administration Apply Farm Credit Administration filter 7
          • NASDAQ BX Apply NASDAQ BX filter 7
          • NASDAQ ISE Apply NASDAQ ISE filter 7
          • NYSE National Apply NYSE National filter 7
          • Cboe Apply Cboe filter 6
          • CFIUS Apply CFIUS filter 6
          • Financial Accounting Standards Board Apply Financial Accounting Standards Board filter 6
          • Int. Organizations Apply Int. Organizations filter 6
          • NYSE Chicago Apply NYSE Chicago filter 6
          • Nasdaq GEMX Apply Nasdaq GEMX filter 5
          • Cboe C2 Options Exchange Apply Cboe C2 Options Exchange filter 4
          • FICC Apply FICC filter 4
          • Investors Exchange LLC Apply Investors Exchange LLC filter 4
          • Miami International Securities Exchange LLC Apply Miami International Securities Exchange LLC filter 4
          • Nasdaq MRX Apply Nasdaq MRX filter 4
          • NSCC Apply NSCC filter 4
          • Patent and Trademark Office Apply Patent and Trademark Office filter 4
          • Pres. Working Group Apply Pres. Working Group filter 4
          • Accounting Bodies Apply Accounting Bodies filter 3
          • BOX Options Exchange LLC Apply BOX Options Exchange LLC filter 3
          • MEMX Apply MEMX filter 3
          • MIAX Emerald Apply MIAX Emerald filter 3
          • MIAX Pearl Apply MIAX Pearl filter 3
          • Options Clearing Corp. Apply Options Clearing Corp. filter 3
          • Law Firm Apply Law Firm filter 2
          • Long-Term Stock Exchange Apply Long-Term Stock Exchange filter 2
          • NYMEX Apply NYMEX filter 2
          • SIPC Apply SIPC filter 2
          • CBOE Futures Exchange Apply CBOE Futures Exchange filter 1
          • COMEX Apply COMEX filter 1
          • Community Development Financial Institutions Fund Apply Community Development Financial Institutions Fund filter 1
          • HUD Apply HUD filter 1
          • ICE Clear Europe Apply ICE Clear Europe filter 1
          • NIST Apply NIST filter 1
          • Small Business Administration Apply Small Business Administration filter 1
          • State Courts Apply State Courts filter 1
          news type:
          • Legal / Regulatory News Apply Legal / Regulatory News filter 14790
          • Enforcement News Apply Enforcement News filter 2323
          regulated activities:
          • Trading Apply Trading filter 1575
          • Disclosures Apply Disclosures filter 942
          • Regulatory Reporting Apply Regulatory Reporting filter 738
          • Suitability and Consumer Protection Apply Suitability and Consumer Protection filter 698
          • Supervision / Compliance Apply Supervision / Compliance filter 686
          • Trade Reporting Apply Trade Reporting filter 651
          • Governance Apply Governance filter 617
          • Capital Apply Capital filter 535
          • Registration Requirement Apply Registration Requirement filter 526
          • Employee Matters Apply Employee Matters filter 522
          • Distribution Procedures Apply Distribution Procedures filter 507
          • Cross-Border Apply Cross-Border filter 461
          • Regulatory Oversight Apply Regulatory Oversight filter 432
          • Meetings Apply Meetings filter 427
          • Data Protection / Cybersecurity Apply Data Protection / Cybersecurity filter 387
          • AML Compliance Apply AML Compliance filter 378
          • Sanctions Compliance Apply Sanctions Compliance filter 369
          • Margining Apply Margining filter 364
          • Business Continuity Apply Business Continuity filter 358
          • Lending Apply Lending filter 322
          • Fintech Apply Fintech filter 294
          • Recordkeeping Apply Recordkeeping filter 293
          • Central Clearing Apply Central Clearing filter 286
          • Position Limits Apply Position Limits filter 281
          • Custody Apply Custody filter 268
          • Accounting and Audit Apply Accounting and Audit filter 241
          • Sales Apply Sales filter 228
          • Insider Trading Apply Insider Trading filter 216
          • Financial Recordkeeping & Reporting Apply Financial Recordkeeping & Reporting filter 208
          • Risk Management Apply Risk Management filter 208
          • Registration Process Apply Registration Process filter 200
          • Stress Testing Apply Stress Testing filter 200
          • Technology (not Cyber) Apply Technology (not Cyber) filter 197
          • Enforcement Procedures Apply Enforcement Procedures filter 179
          • Marketing Apply Marketing filter 164
          • Liquidation Apply Liquidation filter 157
          • Advice and Fiduciary Apply Advice and Fiduciary filter 151
          • Diversity / Discrimination Apply Diversity / Discrimination filter 148
          • Regulatory Fees Apply Regulatory Fees filter 148
          • Proxies / Voting Apply Proxies / Voting filter 145
          • Conflicts of Interest Apply Conflicts of Interest filter 144
          • Arbitration / Litigation Apply Arbitration / Litigation filter 126
          • Liquidity Requirements Apply Liquidity Requirements filter 123
          • Ownership Apply Ownership filter 110
          • Operations Apply Operations filter 105
          • Account Handling Apply Account Handling filter 104
          • Jurisdiction Apply Jurisdiction filter 98
          • Just and Equitable / Fair Dealing Apply Just and Equitable / Fair Dealing filter 92
          • Research Apply Research filter 84
          • Fees to Customers Apply Fees to Customers filter 75
          • Public Offerings Apply Public Offerings filter 73
          • Activity Limits Apply Activity Limits filter 71
          • Sec Loan / Repo / TBA Apply Sec Loan / Repo / TBA filter 66
          • Exchange and Tender Offers Apply Exchange and Tender Offers filter 64
          • Exchange Listing Apply Exchange Listing filter 63
          • Confirmations Apply Confirmations filter 62
          • Valuation and Appraisal Apply Valuation and Appraisal filter 60
          • Privacy Apply Privacy filter 59
          • Criminal Activity Apply Criminal Activity filter 58
          • Close-Out Apply Close-Out filter 49
          • M&A and Corporate Form Transactions Apply M&A and Corporate Form Transactions filter 49
          • Payments Apply Payments filter 44
          • Account Statements Apply Account Statements filter 41
          • Swap / SBS Documentation Apply Swap / SBS Documentation filter 41
          • Regulatory Process Apply Regulatory Process filter 40
          • Capital Structure Apply Capital Structure filter 38
          • Credit Reporting Apply Credit Reporting filter 38
          • Branch Offices Apply Branch Offices filter 35
          • Counterparty Types Apply Counterparty Types filter 35
          • Debt Collection Apply Debt Collection filter 35
          • Community Lending Apply Community Lending filter 30
          • Contract Terms Apply Contract Terms filter 28
          • Waiver Apply Waiver filter 26
          • Funds Transfer Apply Funds Transfer filter 25
          • Jurisdiction by Product or Activity Apply Jurisdiction by Product or Activity filter 19
          • Regulatory Structure Apply Regulatory Structure filter 19
          • Insurance / Bonding Apply Insurance / Bonding filter 18
          • Issuer Dividends and Repurchases Apply Issuer Dividends and Repurchases filter 18
          • Stimulus Apply Stimulus filter 10
          • Risk Assessment Apply Risk Assessment filter 9
          • Bank Transactions and Startups Apply Bank Transactions and Startups filter 7
          • Leasing Apply Leasing filter 7
          • Reserve Requirements Apply Reserve Requirements filter 6
          • Outsourcing Apply Outsourcing filter 5
          • Complaints Apply Complaints filter 3
          • Hedging Apply Hedging filter 3
          • Offering Documents Apply Offering Documents filter 2
          • Corporate Form Apply Corporate Form filter 1
          • Jurisdiction: Fed / Local or by Geography Apply Jurisdiction: Fed / Local or by Geography filter 1
          • Redemptions by Funds Apply Redemptions by Funds filter 1
          • SA Section 3(a)(3) (Current transactions) Apply SA Section 3(a)(3) (Current transactions) filter 1
          • Volcker Apply Volcker filter 1
          regulated entities:
          • Broker-Dealers Apply Broker-Dealers filter 2694
          • Adviser / CTA / CPO Apply Adviser / CTA / CPO filter 1333
          • FCMs and IBs Apply FCMs and IBs filter 1110
          • Banking Entities Apply Banking Entities filter 1096
          • Regulatory Agencies Apply Regulatory Agencies filter 1017
          • Issuers of Securities Apply Issuers of Securities filter 992
          • Swap Dealers / SBSDs Apply Swap Dealers / SBSDs filter 821
          • Banking Organizations Apply Banking Organizations filter 684
          • Traders / Investors / Counterparties Apply Traders / Investors / Counterparties filter 661
          • Markets Apply Markets filter 594
          • Investment Funds (SEC Registered) Apply Investment Funds (SEC Registered) filter 452
          • Foreign Entities Apply Foreign Entities filter 324
          • Clearing Orgs. Apply Clearing Orgs. filter 298
          • Investment Funds (SEC Exempt) Apply Investment Funds (SEC Exempt) filter 241
          • Muni Advisors Apply Muni Advisors filter 239
          • Securities SROs Apply Securities SROs filter 210
          • Foreign Governments Apply Foreign Governments filter 149
          • Commercial Companies Apply Commercial Companies filter 141
          • Whistleblowers Apply Whistleblowers filter 132
          • RFDs / FDMs Apply RFDs / FDMs filter 95
          • Rating Agencies Apply Rating Agencies filter 81
          • Creditors / Lenders Apply Creditors / Lenders filter 79
          • Accountants / Attorneys Apply Accountants / Attorneys filter 72
          • State or Municipal Gov. Apply State or Municipal Gov. filter 70
          • Insurance Companies Apply Insurance Companies filter 57
          • SDRs / SBSDRs Apply SDRs / SBSDRs filter 54
          • Plans Apply Plans filter 41
          • Money Service Business / Transmitter Apply Money Service Business / Transmitter filter 27
          • Futures Association Apply Futures Association filter 23
          • Investor Status Apply Investor Status filter 20
          • FB / FTs Apply FB / FTs filter 16
          • Transfer Agents Apply Transfer Agents filter 15
          • LTMs Apply LTMs filter 14
          • Fiduciary Apply Fiduciary filter 11
          • Borrowers / Debtors Apply Borrowers / Debtors filter 9
          • Casinos Apply Casinos filter 7
          • Government Sponsored Enterprises Apply Government Sponsored Enterprises filter 7
          • Sponsor Apply Sponsor filter 3
          • Administrator Apply Administrator filter 2
          • Utilities Apply Utilities filter 1
          regulated products:
          • Swaps / SBS Apply Swaps / SBS filter 1646
          • Municipal Securities Apply Municipal Securities filter 673
          • Cryptocurrencies / ICOs Apply Cryptocurrencies / ICOs filter 443
          • Futures Apply Futures filter 363
          • Securities Apply Securities filter 302
          • Debt Apply Debt filter 287
          • Equities Apply Equities filter 250
          • Real Estate / Mortgages Apply Real Estate / Mortgages filter 248
          • ESG Apply ESG filter 189
          • Investment Funds (as Regulated Product) Apply Investment Funds (as Regulated Product) filter 189
          • Indices Apply Indices filter 176
          • Options Apply Options filter 159
          • ABS Apply ABS filter 156
          • FX Apply FX filter 136
          • Energy Products Apply Energy Products filter 101
          • US Government Securities Apply US Government Securities filter 71
          • Penny Stocks / Small Caps Apply Penny Stocks / Small Caps filter 67
          • Bank Deposits (CDs) Apply Bank Deposits (CDs) filter 66
          • Structured Products (Converts) Apply Structured Products (Converts) filter 56
          • Ags Apply Ags filter 55
          • Foreign Products Apply Foreign Products filter 42
          • Insurance Related Securities (Annuities) Apply Insurance Related Securities (Annuities) filter 40
          • Security Futures / Prod. Apply Security Futures / Prod. filter 35
          • Qualified Financial Contracts Apply Qualified Financial Contracts filter 30
          • Cannabis Apply Cannabis filter 29
          • Minerals / Mining Apply Minerals / Mining filter 26
          • Metals Apply Metals filter 22
          • Credit Cards Apply Credit Cards filter 17
          • Exempt Securities: SA Section 3 Apply Exempt Securities: SA Section 3 filter 15
          • Insurance (as product) Apply Insurance (as product) filter 14
          • Commodity Apply Commodity filter 12
          • EB-5 Program Apply EB-5 Program filter 12
          • Patent Apply Patent filter 11
          • Checks Apply Checks filter 10
          • Depository Receipts (ADRs / GDRs) Apply Depository Receipts (ADRs / GDRs) filter 10
          • Direct Participations Apply Direct Participations filter 10
          • Market Data Apply Market Data filter 9
          • Wrap Fee Programs / Accounts Apply Wrap Fee Programs / Accounts filter 9
          • Copyright Apply Copyright filter 4
          • Forwards Apply Forwards filter 4
          • Plan Assets Apply Plan Assets filter 4
          • Trademark Apply Trademark filter 3
          • Employer Securities / Property Apply Employer Securities / Property filter 2
          • Trade Secret Apply Trade Secret filter 2
          • June 23, 2022

            Treasury Requests Comment on Trade Reporting in Government Securities

            Treasury issued a Request for Information as to whether it should require additional post-trade transparency of data regarding secondary market transactions of Treasury securities.
            Steven.Lofchie@friedfrank.com's picture
            Commentary by Steven Lofchie
          • June 23, 2022

            FINRA Proposes Trade Reporting for OTC Options

            FINRA solicited comment on a proposal to require daily trade reporting for OTC options transactions.
            nihal.patel@friedfrank.com's picture
            Commentary by Nihal Patel
          • June 23, 2022

            FDIC Proposes Increase to Deposit Insurance Rates

            The FDIC Board of Directors proposed to increase initial base deposit insurance assessment rates uniformly by two basis points for all insured depository institutions.
          • June 23, 2022

            GAO Evaluates OCC Oversight of Banks' Fair Lending Practices

            The GAO evaluated the efficiency of the OCC's oversight of fair lending practices among OCC-supervised banks.
          • June 23, 2022

            CFTC Commissioner Mersinger Addresses Retail Clearing Access and CFTC Climate Initiatives

            CFTC Commissioner Summer K. Mersinger weighed in on offering retail access to clearing outside of traditional futures commission merchant models and raised concerns over "mission creep... in the name of addressing climate change."
          • June 23, 2022

            CFTC Commissioner Pham to Relaunch GMAC

            CFTC Commissioner Caroline D. Pham announced that she is relaunching the Global Markets Advisory Committee to focus on "firms’ global business strategy and operations and the markets that are needed to support growth and effective risk management."
          • June 23, 2022

            SIFMA Urges Reevaluation of Latest CAT Executed Share Funding Model

            SIFMA urged the SEC to reevaluate the proposed fee split set out in the CAT Executed Share Funding Model.
          • June 23, 2022

            Brokerage Firm Settles FINRA Charges for Attempting to Artificially Influence Market Prices

            A broker-dealer settled FINRA charges for attempting to influence the market for securities offered by the firm’s corporate affiliates and investment banking clients.
          • June 23, 2022

            Broker-Dealer Settles FINRA Charges for Private Placement Offering Violations

            A broker-dealer settled FINRA charges for failing to conduct reasonable due diligence in connection with a private-placement offering and for failing to maintain the minimum net capital required to operate as a securities business.
          • June 22, 2022

            Commissioner Peirce Reacts to SEC Spring Rule List

            SEC Commissioner Hester M. Peirce criticized Chair Gary Gensler's spring 2022 Agency Rule List agenda, asserting that both its goals and the method for achieving them are flawed.
            Steven.Lofchie@friedfrank.com's picture
            Commentary by Steven Lofchie
          • 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
                • Exchange Materials
                • SEC Materials
              • 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
              • 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
              • 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