At Least One Person Knows My Name

Senate Banking Committee Considers "Outside Perspectives" on Collecting Beneficial Ownership Information
The U.S. Senate Committee on Banking, Housing and Urban Affairs considered testimony from non-government organizations about how draft legislation that would require businesses to report beneficial ownership information might impact small businesses.
House Committee Hears Testimony to Expand SEC Enforcement Powers
House Committee Hears Testimony to Expand SEC Enforcement Powers
The U.S. House Committee on Financial Services heard testimony on eight bills intended to enhance the SEC and the Public Company Accounting and Oversight Board's enforcement authority.
SIFMA Concerned by Bills to Expand SEC Enforcement Authority
Kyle DeYoung Commentary by Kyle DeYoung
SIFMA expressed concern regarding several bills intended to strengthen enforcement against securities law violators.
LabCFTC Director Outlines Challenges in FinTech Regulation
LabCFTC Director Daniel Gorfine outlined key challenges involved in the regulation of FinTech.
OFAC to Update Reporting, Procedures and Penalties Regulations
OFAC adopted an interim final rule that will update the instructions for and add new requirements to the Reporting, Procedures and Penalties Regulations.
Broker-Dealer Settles FINRA Charges for Misleading Filings
Steven Lofchie Commentary by Steven Lofchie
A retail broker-dealer agreed to settle FINRA charges for filing misleading information about the amounts of alleged damages in customers' complaints.


Important Dates & Deadlines

Regulatory Tracker: June 16 to June 30
Regulatory Tracker: June 16 to June 30
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, registration deadlines and effective dates.