General Counsel
Tw Li

February 19, 2021

Will We Play the Blame Game?

House Financial Services Committee Hears Testimony from Key Players in GameStop Trading Event

Steven Lofchie

Commentary by Steven Lofchie

A number of key players in the recent events that led to a short squeeze of stocks involving GameStop, AMC and KOSS testified before the U.S. House Financial Services Committee.

U.S. Climate Finance Working Group Recommends "Pragmatic Approach" to Sustainable Low-Carbon Economy

A U.S. Climate Finance Working Group made up of 11 associations that include ISDA, SIFMA, FIA and the American Bankers Association, laid out 10 recommendations "essential" for a U.S. transition to a sustainable low-carbon economy.

MSRB Reminds Dealers of Upcoming Compliance Date for Underwriting Disclosure Obligations

The MSRB reminded brokers, dealers and municipal securities dealers of an upcoming March 31, 2021 compliance date concerning fair dealing obligations of underwriters to issuers.

Digital Currency Processing Company Settles OFAC Charges for Multiple Sanctions Violations

James Treanor

Commentary by James Treanor

A private company offering digital currency payment processing settled its potential civil liability for alleged violations of numerous sanctions programs.

SEC Permits Filing Extension for Certain Broker-Dealers

The SEC issued an order permitting smaller broker-dealer firms an additional 30 days for filing annual reports.

Also Covered

Reg. Tracker: February 16 to February 28

Reg. Tracker: February 16 to February 28

The Cabinet Regulatory Tracker is a list of comment deadlines, effective dates and expiration dates.