General Counsel
Tw Li

September 13, 2021

Dare to Share?

CRS Considers Implications of a CFPB Rulemaking on Consumer-Authorized Access to Financial Data

The Congressional Research Service reviewed the potential benefits and risks of data sharing in the context of a potential CFPB rulemaking on consumer-authorized access to financial data.

Broker-Dealer Settles Nasdaq Options Market Charges for Intra-Day Quotation Violations

A broker-dealer settled Nasdaq Options Market charges for failing to provide two-sided quotations for the amount of time required to meet the continuous quoting obligation on the ISE Gemini Exchange.

SEC Updates COVID-19 Telework Operations Status

In the latest update on the SEC COVID-19 Response website, the agency stated that it will remain in "full telework posture with limited exceptions" until at least November 1, 2021.

SEC OIEA Cautions Investors on Investment Scams Related to Hurricane Ida

The SEC Office of Investor Education and Advocacy cautioned investors, specifically those who receive lump sum insurance payouts, on potential investment scams related to Hurricane Ida.

OFAC Further Delays Effective Date for Authorization of Transactions Related to PetrĂ³leos de Venezuela, S.A.

OFAC authorized all transactions on or after January 21, 2022, related to the PetrĂ³leos de Venezuela, S.A. 2020 8.5 Percent Bond that otherwise would be prohibited by Executive Order.

Also Covered

Reg. Tracker: September 1 to September 15

Reg. Tracker: September 1 to September 15

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