Skip to main content
  • Topics
    • Broker-Dealers
      • Broker-Dealers
        • Overview
        • FINRA Materials
        • FINRA: Rule by Rule
        • Muni Advisors
        • Muni Securities and Dealers
        • Muni Securities Documents
        • MSRB Rules: Rule by Rule
        • Government Securities Dealers
        • 100's More Broker-Dealer Topics
        • Capital Requirements
        • Regulation Best Interest
        • Non-U.S. Broker-Dealer (Rule 15a-6)
    • Commodity Exchange Act
      • Commodity Exchange Act
        • Overview
        • CFTC Supervision and CCO
        • Position Limits
        • 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
        • Registration Requirement
        • Reporting on Form PQR, and Form PR
    • Advisers, Funds and Plans
      • Advisers, Funds and Plans
        • Overview
        • ERISA
        • Investment Advisers Act: By Section and By Rule
        • Municipal Advisors
        • IA Regulation
        • Standard of Conduct and Fiduciary Guidance
        • Business Continuity
        • Incentive Compensation
        • Marketing Materials
        • Pay to Play
        • Recordkeeping and Reporting
        • Registration Requirement
        • SEA 13(f) Position Reporting
        • Soft Dollars
        • Custody Requirements
        • Definition of Investment Adviser
        • Form CRS
        • More Adviser and Funds Topics
        • Investment Companies
        • Overview of Exemptions from Registration under the ICA
        • Capital Structure, Senior Securities, Liquidity
        • Custody Requirements
    • Banking
      • Banking
        • Overview
        • FRA 23A and 23B and Reg W
        • Community Reinvestment Act
        • Volcker
        • Truth in Lending
        • Truth in Savings
        • Capital Requirements
        • Enforcement Procedures
        • Money Service Businesses
      • Products and Contracts
        • Products and Contracts
          • Cannabis Finance
          • Commodity Options
          • Crypto and Initial Coin Offerings
          • Government Securities and Dealers
          • LIBOR and Indices
          • Municipal Securities and Dealers
          • Securities Lending
          • Securities Options
          • Security Futures Products
          • TBAs and the MSFTA
          • 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
        • Cybersecurity
          • Cybersecurity
            • Cybersecurity and Data Protection
          • Enforcement and Bad Acts
            • Enforcement and Bad Acts
              • Anti-Money Laundering
              • 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
                  • Asset-Backed Securities
                  • Conflict Minerals
                  • Issuer Repurchases Rule 10b-18
                  • Issuer Securities Regulation and Del. Corp. Law
                  • Regulation FD (Fair Disclosure)
                  • Securities Offerings
                  • Corporate Financing Rule
                  • FINRA Private Placement Rules (5122 and 5123)
                • Regulatory Policy
                  • Regulatory Policy
                    • Dodd-Frank
                    • Policy
                • Documents
                  • Federal Securities
                    • Federal Securities
                      • Statutes
                      • Investment Advisers Act
                      • Investment Company Act
                      • Securities Act
                      • Securities Exchange Act
                      • Trust Indenture Act
                      • Rules
                      • Investment Advisers Act
                      • Investment Company Act
                      • Securities Act
                      • Securities Exchange Act
                      • Securities Act / Securities Exchange Act Regulations
                      • Trust Indenture Act Rules
                      • More Federal Securities Laws, Rules and Other Documents
                      • 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
                      • SRO Enforcement Releases
                  • Commodity Exchange Act and Energy
                    • Commodity Exchange Act and Energy
                      • 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
                      • Comptroller Rules
                      • FDIC Rules
                      • FRB Rules
                      • Government Securities Act Rules
                      • CFPB Rules
                      • Banking Guidance
                      • Comptroller Handbooks
                      • Comptroller Interpretive Letters
                      • FDIC Financial Institution Letters
                      • FRB Compliance Guides
                      • FRB Supervision and Regulation Letters
                      • CFPB Supervisory Highlights
                  • 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
                      • Federal Crime of Money Laundering
                      • NY Penal Law, Article 470
                      • FinCEN Advisories
                      • FinCEN FAQs
                      • FinCEN Federal Registers
                      • More AML Laws, Rules and Other Documents
                      • FCPA
                      • 15 USC 78dd
                      • 15 USC 78m
                      • FCPA Resource Guide
                      • 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
                  • NASAA and State Law
                    • NASAA and State Law
                      • NASAA
                      • Uniform Securities Act
                      • Uniform Securities Act (1956), As Amended
                      • Model Rules: Advisers
                      • Model Rules: Broker-Dealers
                      • Model Rules: Offerings
                      • Delaware
                      • Delaware General Corporation Law
                      • New York Statutes
                      • Martin Act
                      • Requirement of Written Agreement
                      • Anti-Money Laundering
                      • New York Rules and Interpretations
                      • Virtual Currencies Regulation
                      • Annuity Regulations
                      • NYDFS Letters on Bank Insolvency
                  • Antitrust and CFIUS
                    • Antitrust and CFIUS
                      • Hart-Scott-Rodino
                      • Act
                      • Rules
                      • HSR Guidance
                      • HSR - Introductory Guide I
                      • HSR - Introductory Guide II
                      • HSR: Back to Basics Workshop Transcript
                      • The Most Frequently Asked HSR Questions
                      • CFIUS
                      • Defense Production Act
                      • Rules
                      • Federal Registers
                      • Executive Orders
                  • Statutes, Rules and Public Laws
                    • Statutes, Rules and Public Laws
                      • All Statutes
                      • All Rules
                      • All Public Laws
                    • Analytic Materials
                      • Analytic Materials
                        • Cabinet Materials
                        • Broker-Dealer Guide
                        • CEA Guide
                        • Hedge Fund Guide
                        • Pamphlets
                        • Anti-Money Laundering Regulation for Financial Institutions
                        • Blue Sky Law Registration Requirements
                        • Guide to Federal Income Tax of Hedge Fund
                        • Section 23A for Broker-Dealers
                        • Quick Guide to U.S. Economic Sanctions
                        • More Legal Writings
                        • Governmental Materials
                        • SEC Compliance Guides
                        • SEC Guide to Broker-Dealer Registration
                        • SEC Guide to ICA Registration
                        • SEC Guidance for Newly-Registered Investment Advisers
                        • FRB Compliance Guides
                        • FRB Supervision and Regulation Letters
                        • Comptroller Handbooks
                        • Comptroller Interpretive Letters
                        • FDIC Financial Institution Letters
                    • Individuals and Organizations
                      • Individuals and Organizations
                        • Speeches, Statements & Testimony
                        • Elizabeth A. Warren
                        • Steven T. Mnuchin
                        • J. Christopher Giancarlo
                        • Jerome H. Powell
                        • Randal Quarles
                        • Walter Jay Clayton
                        • Hester Peirce
                        • Kara M. Stein
                        • Lael Brainard
                        • Robert Jackson
                        • All Individuals
                        • Reports
                        • Alternative Reference Rates Committee
                        • Congressional Research Service
                        • Financial Stability Oversight Council
                        • Futures Industry Association
                        • Government Accountability Office
                        • Investment Company Institute
                        • Managed Funds Association
                        • North American Securities Administrators Association
                        • Office of Financial Research
                        • Securities Industry and Financial Markets Association
                  • Events
                  • News
                  • Tools
                    • Glossaries
                    • Interactive Applications
                    • Change Management Tracker
                  • About
                    • About News
                    • About Berkeley
                    • Contributors
                    • Help
                    • Purpose
                  • Sign in
                  Advanced Search

                  Not just data.
                  Information in context.

                  News & Headlines

                  Receive our daily newsletter

                  25 results
                  Search Narrowed by Text
                  Search Terms

                  Search Narrowed by Categories
                  • Remove CRA filter CRA
                  date:
                  body of law:
                  • Banking Apply Banking filter 25
                  • AML Apply AML filter 1
                  issuing jurisdiction:
                  author organization:
                  • Comptroller Apply Comptroller filter 11
                  • Fed. Res. Board / Banks Apply Fed. Res. Board / Banks filter 11
                  • FDIC Apply FDIC filter 8
                  • US Congress Apply US Congress filter 3
                  • Company Apply Company filter 1
                  news type:
                  • Legal / Regulatory News Apply Legal / Regulatory News filter 25
                  enforcement type:
                  federal register type:
                  book compilation:
                  regulatory status:
                  regulated activities:
                  • Community Lending Apply Community Lending filter 11
                  • Diversity / Discrimination Apply Diversity / Discrimination filter 6
                  • Lending Apply Lending filter 6
                  • Suitability and Consumer Protection Apply Suitability and Consumer Protection filter 4
                  • AML Compliance Apply AML Compliance filter 3
                  • Disclosures Apply Disclosures filter 3
                  • M&A and Corporate Form Transactions Apply M&A and Corporate Form Transactions filter 3
                  • Bank Transactions and Startups Apply Bank Transactions and Startups filter 2
                  • Liquidation Apply Liquidation filter 2
                  • Regulatory Oversight Apply Regulatory Oversight filter 2
                  • Capital Apply Capital filter 1
                  • Employees Apply Employees filter 1
                  • Margining Apply Margining filter 1
                  • Outsourcing Apply Outsourcing filter 1
                  • Stress Testing Apply Stress Testing filter 1
                  • Volcker Apply Volcker filter 1
                  regulated entities:
                  • Banking Entities Apply Banking Entities filter 20
                  • Banking Organizations Apply Banking Organizations filter 12
                  • Regulatory Agencies Apply Regulatory Agencies filter 1
                  regulated products:
                  • Real Estate / Mortgages Apply Real Estate / Mortgages filter 4
                  • Debt Apply Debt filter 1
                  • Swaps / SBS Apply Swaps / SBS filter 1
                  affected jurisdiction:
                  penalty amount (approximate):
                  disgorgement amount (approximate):
                  • December 05, 2019

                    House Financial Services Committee Considers Bank Regulator Concerns and Proposed Legislation

                    The House Financial Services Committee considered (i) testimony from federal banking regulators on a broad range of concerns and (ii) several proposed bills imposing additional requirements on financial institutions.
                    Steven.Lofchie@cwt.com's picture
                    Commentary by Steven Lofchie
                  • June 14, 2019

                    Bankers and Community Groups Offer Recommendations to Strengthen Community Reinvestment Act

                    At a roundtable discussion hosted by the Federal Reserve Board, bankers and community groups described their experiences with Community Reinvestment Act implementation and proposed amendments to better address underserved areas.
                  • May 16, 2019

                    FDIC Chair Jelena McWilliams Challenges Agency to Strengthen Community Banking

                    FDIC Chair Jelena McWilliams "challenged" the agency to increase its efforts to understand and address "the needs of our communities and the banks that serve them."
                  • May 15, 2019

                    Comptroller of the Currency Reviews Risks to the Banking System

                    Comptroller of the Currency Joseph Otting reported that the federal banking system is strong, but risks remain.
                  • May 10, 2019

                    Financial Services Committee Chair Maxine Asks FRB and FDIC to Postpone BB&T/SunTrust Merger

                    House Financial Services Committee Chair Maxine Waters (D-CA) asked the Federal Reserve Board and FDIC for more time to review the proposed merger of BB&T Corporation with SunTrust Banks, Inc.
                  • March 14, 2019

                    Bank Holding Company Merger Faces Heightened Scrutiny

                    The Federal Reserve Board and FDIC will meet to discuss the proposed merger of BB&T Corporation with SunTrust Banks, Inc.
                  • March 12, 2019

                    FRB Governor Lael Brainard Seeks Greater Clarity for CRA Assessments

                    Federal Reserve Board Governor Lael Brainard emphasized the need to clarify the current assessment area definition under the Community Reinvestment Act.
                  • February 01, 2019

                    FRB Governor Lael Brainard Summarizes Feedback on Reforming the CRA

                    Federal Reserve Board Governor Lael Brainard summarized feedback by academics, banks, trade associations and community and consumer groups on a proposal to reform the Community Reinvestment Act.
                  • January 07, 2019

                    OCC Reminds Banks of Annual Adjustments to Asset-Size Thresholds under CRA

                    In a Bulletin, the Office of the Comptroller of the Currency reminded banks of annual adjustments, which took effect on January 1, 2019, amending the asset-size thresholds used to define "small bank," "small savings association," "intermediate small bank" and "intermediate small savings association" under the Community Reinvestment Act.
                  • December 27, 2018

                    Banking Agencies Make Annual Adjustments to Asset-Size Thresholds under CRA

                    The Office of the Comptroller of the Currency, the Federal Reserve Board and the FDIC adopted their annual adjustments to the asset-size thresholds used to define "small bank," "small savings association," "intermediate small bank" and "intermediate small savings association" under the Community Reinvestment Act.
                  • Previous
                  • 1
                  • 2
                  • 3
                  • Next

                  Request delivery of the Cadwalader Cabinet Newsletter.

                  User menu

                  • Attorney Advertising
                  • Terms of Use
                  • Privacy
                  2008-2019
                  • Main menu
                    • Topics
                      • Broker-Dealers
                        • Overview
                        • FINRA Materials
                        • FINRA: Rule by Rule
                        • Muni Advisors
                        • Muni Securities and Dealers
                        • Muni Securities Documents
                        • MSRB Rules: Rule by Rule
                        • Government Securities Dealers
                        • 100's More Broker-Dealer Topics
                        • Separator for Broker-Dealer
                        • Capital Requirements
                        • Regulation Best Interest
                        • Non-U.S. Broker-Dealer (Rule 15a-6)
                      • Commodity Exchange Act
                        • Overview
                        • CFTC Supervision and CCO
                        • Position Limits
                        • 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
                        • Registration Requirement
                        • Reporting on Form PQR, and Form PR
                      • Advisers, Funds and Plans
                        • Overview
                        • ERISA
                        • Investment Advisers Act: By Section and By Rule
                        • Municipal Advisors
                        • IA Regulation
                        • Standard of Conduct and Fiduciary Guidance
                        • Business Continuity
                        • Incentive Compensation
                        • Marketing Materials
                        • Pay to Play
                        • Recordkeeping and Reporting
                        • Registration Requirement
                        • SEA 13(f) Position Reporting
                        • Soft Dollars
                        • Custody Requirements
                        • Separator for Advisers and Funds
                        • Definition of Investment Adviser
                        • Form CRS
                        • More Adviser and Funds Topics
                        • Investment Companies
                        • Overview of Exemptions from Registration under the ICA
                        • Capital Structure, Senior Securities, Liquidity
                        • Custody Requirements
                      • Banking
                        • Overview
                        • FRA 23A and 23B and Reg W
                        • Community Reinvestment Act
                        • Volcker
                        • Truth in Lending
                        • Truth in Savings
                        • Capital Requirements
                        • Enforcement Procedures
                        • Money Service Businesses
                      • Products and Contracts
                        • Cannabis Finance
                        • Commodity Options
                        • Crypto and Initial Coin Offerings
                        • Government Securities and Dealers
                        • LIBOR and Indices
                        • Municipal Securities and Dealers
                        • Securities Lending
                        • Securities Options
                        • Security Futures Products
                        • TBAs and the MSFTA
                        • Separator for Products and Contracts
                        • Asset-Backed Securities
                        • Overview
                        • ABS Qualifying Residential Mortgage and Other Exempt Loans
                        • BD Communications about CMOs
                        • Credit Rating Agencies and Credit Ratings
                        • Credit Risk Retention
                        • Due Diligence Reports
                        • ICA Section 3(c)(4), (5) and (6) Funds, Including REITs
                        • LIBOR and Indices
                        • Marketplace Lending
                        • Regulation AB
                        • TBAs and the MSFTA
                      • Credit and Insolvency
                        • Overview
                        • BD Insolvency
                        • FCM Insolvency
                        • Insolvency of Banks
                        • Protected Financial Contracts
                        • Security Interests and UCC
                      • Cybersecurity
                        • Cybersecurity and Data Protection
                      • Enforcement and Bad Acts
                        • Anti-Money Laundering
                        • 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
                        • Asset-Backed Securities
                        • Conflict Minerals
                        • Issuer Repurchases Rule 10b-18
                        • Issuer Securities Regulation and Del. Corp. Law
                        • Regulation FD (Fair Disclosure)
                        • Securities Offerings
                        • Corporate Financing Rule
                        • FINRA Private Placement Rules (5122 and 5123)
                      • Regulatory Policy
                        • Dodd-Frank
                        • Policy
                    • Documents
                      • Federal Securities
                        • Statutes
                        • Investment Advisers Act
                        • Investment Company Act
                        • Securities Act
                        • Securities Exchange Act
                        • Trust Indenture Act
                        • Rules
                        • Investment Advisers Act
                        • Investment Company Act
                        • Securities Act
                        • Securities Exchange Act
                        • Securities Act / Securities Exchange Act Regulations
                        • Trust Indenture Act Rules
                        • More Federal Securities Laws, Rules and Other Documents
                        • 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
                        • SRO Enforcement Releases
                      • Commodity Exchange Act and Energy
                        • 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
                        • Comptroller Rules
                        • FDIC Rules
                        • FRB Rules
                        • Government Securities Act Rules
                        • CFPB Rules
                        • Banking Guidance
                        • Comptroller Handbooks
                        • Comptroller Interpretive Letters
                        • FDIC Financial Institution Letters
                        • FRB Compliance Guides
                        • FRB Supervision and Regulation Letters
                        • CFPB Supervisory Highlights
                      • ERISA
                        • Statutes
                        • Employee Retirement Income Security Act
                        • Internal Revenue Code Provisions Related to ERISA
                        • Rules
                        • ERISA Rules
                          • DOL Fiduciary Rule (Final)
                          • DOL Fiduciary Rule (Proposed)
                        • 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
                        • Federal Crime of Money Laundering
                        • 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
                        • 15 USC 78m
                        • FCPA Resource Guide
                        • 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
                      • NASAA and State Law
                        • NASAA
                        • Uniform Securities Act
                        • Uniform Securities Act (1956), As Amended
                        • Model Rules: Advisers
                        • Model Rules: Broker-Dealers
                        • Model Rules: Offerings
                        • Delaware
                        • Delaware General Corporation Law
                        • Separator for state law
                        • New York Statutes
                        • Martin Act
                        • Requirement of Written Agreement
                        • Anti-Money Laundering
                        • New York Rules and Interpretations
                        • Virtual Currencies Regulation
                        • Annuity Regulations
                        • NYDFS Letters on Bank Insolvency
                      • Antitrust and CFIUS
                        • Hart-Scott-Rodino
                        • Act
                        • Rules
                        • HSR Guidance
                        • HSR - Introductory Guide I
                        • HSR - Introductory Guide II
                        • HSR: Back to Basics Workshop Transcript
                          • FTC Announces 2017 Thresholds for Merger Control Filings Under the HSR Act and Interlocking Directorates Under the Clayton Act
                          • A “Sound Basis” Exists for Revising the HSR Act’s Investment-Only Exemption
                        • The Most Frequently Asked HSR Questions
                        • separator for antitrust
                        • CFIUS
                        • Defense Production Act
                        • Rules
                        • Federal Registers
                        • Executive Orders
                      • Statutes, Rules and Public Laws
                        • All Statutes
                        • All Rules
                        • All Public Laws
                        • separator for statutes
                      • Analytic Materials
                        • Cabinet Materials
                        • Broker-Dealer Guide
                          • Introduction
                          • What is a Security?
                          • Registration Requirement
                          • How to Register
                          • Employees and APs
                          • Customers
                          • Communications
                          • Research
                          • Trading
                          • Capital Requirements
                          • Custody
                          • ERISA
                          • Insolvency of Broker-Dealers
                          • Internal Investigations
                          • Margin and Credit
                          • Non-U.S. Broker-Dealers
                          • Records, Reports and Inspections
                          • Supervision
                          • Insider Trading
                        • CEA Guide
                          • Introduction to the CEA
                          • What Is a Swap and Other Jurisdictional Questions
                          • What Is a Pool; CPO/CTA Registration Requirement
                          • Application for CPO/CTA Registration
                          • Trading
                          • Margin
                          • Supervision
                          • Non-U.S. Pools
                          • Non-U.S. FCMs and Futures
                          • Insolvency
                          • Appendices
                        • Hedge Fund Guide
                          • Introduction
                          • Documentation
                          • Adviser Registration Requirement
                          • Adviser Registration Process
                          • Issuer Exemptions Under the ICA and Exchange Act
                          • Securities Act and State Registration Exemptions
                          • Broker-Dealer and other Sales Issues
                          • Communications
                          • Trading
                          • Ownership and Custody
                          • Margin and Credit
                          • Records, Reports, and Inspections
                          • Supervision and Code of Ethics
                          • ERISA
                          • Relationships with Banks
                        • Pamphlets
                        • Anti-Money Laundering Regulation for Financial Institutions
                        • Blue Sky Law Registration Requirements
                        • Guide to Federal Income Tax of Hedge Fund
                        • Section 23A for Broker-Dealers
                        • Quick Guide to U.S. Economic Sanctions
                        • More Legal Writings
                        • separator for legal writing
                        • Governmental Materials
                        • SEC Compliance Guides
                        • SEC Guide to Broker-Dealer Registration
                        • SEC Guide to ICA Registration
                        • SEC Guidance for Newly-Registered Investment Advisers
                        • FRB Compliance Guides
                        • FRB Supervision and Regulation Letters
                        • Comptroller Handbooks
                        • Comptroller Interpretive Letters
                        • FDIC Financial Institution Letters
                      • Individuals and Organizations
                        • Speeches, Statements & Testimony
                        • White House / President
                        • Elizabeth A. Warren
                        • Executive Orders
                        • Memoranda
                        • Steven T. Mnuchin
                        • News
                        • J. Christopher Giancarlo
                        • Regulatory Guidance
                        • Jerome H. Powell
                        • Statutes
                        • Glossary
                        • Randal Quarles
                        • News
                        • Walter Jay Clayton
                        • Hester Peirce
                        • Speeches, Statements & Testimony
                        • Studies and Reports
                        • Kara M. Stein
                        • Lael Brainard
                        • Robert Jackson
                        • All Individuals
                        • Separator for government
                        • Reports
                        • Alternative Reference Rates Committee
                        • Congressional Research Service
                        • Financial Stability Oversight Council
                        • Futures Industry Association
                        • Government Accountability Office
                        • Investment Company Institute
                        • Managed Funds Association
                        • North American Securities Administrators Association
                        • Office of Financial Research
                        • Securities Industry and Financial Markets Association
                    • Events
                    • News
                    • Tools
                      • Glossaries
                      • Interactive Applications
                      • Change Management Tracker
                    • About
                      • About News
                      • About Berkeley
                      • Contributors
                      • Help
                      • Purpose
                    • Sign in
                    • Account