Body: By the authority vested in me as President by the Constitution and the laws of the United States of America, including the International Emergency Economic Powers Act (50 U.S.C. 1701 et seq.) (IEEPA), the National Emergencies Act (50 U.S.C. 1601 et seq.), the Countering America’s Adversaries ...
The FHFA is proposing rules to improve the liquidity of Fannie Mae and Freddie Mac TBA eligible mortgage-backed securities by requiring policies that promote aligned investor cash flows both on current TBA-eligible MBS and on the Uniform Mortgage-Backed Security (UMBS). FHFA ...
President Donald J. Trump intends to nominate Jean Nellie Liang as a Member of the Board of Governors of the Federal Reserve System ("FRB"). Ms. Liang is a Senior Fellow in Economic Studies at the Brookings Institution and a Visiting Scholar at the International Monetary Fund's ...
A proprietary trading firm, Geneva Trading USA, LLC ("Geneva Trading"), agreed to pay $1.5 million to settle CFTC charges of "spoofing" with respect to a variety of agricultural, energy and precious metals futures contracts traded on the Chicago Mercantile Exchange. According to ...
Chief Information Officer Pamela C. Dyson will leave the SEC to join the Federal Reserve Bank of New York as executive vice president, head of the Technology Group, and Chief Information Officer. SEC Chief Technology Officer Charles Riddle will succeed Ms. Dyson as Acting Chief Information Officer. ...
Senior Advisor to SEC Chair Jay Clayton for Cybersecurity Policy will be leaving the agency. Christopher Hetner will remain at the SEC until a successor is named and the transition is complete. Mr. Hetner previously served in a similar role for former Chair Mary Jo White and former Acting Chair ...
The SEC proposed an amendment to Exchange Act Rule 17a-5 that would clarify an annual reporting exemption for certain broker-dealers. The amendment clarifies that a broker-dealer that acts as an agent for a single issuer does not need an independent public accountant to certify its annual reports. ...
FINRA proposed amending its anti-money laundering ("AML") program for capital acquisition brokers. The amendment would require risk-based procedures for conducting ongoing customer due diligence. The proposal conforms FINRA Rule 331 to the Financial Crimes Enforcement Network (" ...
The Managed Funds Association ("MFA") urged the SEC to simplify the systemic risk reporting process for advisers of privately offered investment funds. Investment advisers with greater than $150 million in private fund assets under management are required to provide significant financial ...
The Trump administration strengthened U.S. sanctions against Russia through the issuance of a new Executive Order, the implementation of restrictions against a company and individual for their "significant transactions" with a Russian arms exporter and identification of additional Russian ...
ISDA and the U.S. Chamber's Center for Capital Markets Competitiveness ("CCMC") advocated for harmonizing the CFTC and SEC derivatives regulatory frameworks through a regulatory "safe harbor" mechanism. In a white paper, the authors argued that there is "considerable ...
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 84235 / September 20, 2018 ADMINISTRATIVE PROCEEDING File No. 3-18808 In the Matter of MARC JAY BRYANT (a/k/a MARC JAY WELCH), Respondent. ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS ...
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 84234 / September 20, 2018 ADMINISTRATIVE PROCEEDING File No. 3-18807 In the Matter of DAVID HOWARD WELCH (a/k/a DAVID HOWARD BRYANT), Respondent. ORDER INSTITUTING ADMINISTRATIVE ...
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 84232 / September 20, 2018 ADMINISTRATIVE PROCEEDING File No. 3-11818 In the Matter of Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, ...
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release No. 10557 / September 20, 2018 SECURITIES EXCHANGE ACT OF 1934 Release No. 84233 / September 20, 2018 ACCOUNTING AND AUDITING ENFORCEMENT Release No. 3977 / September 20, 2018 ADMINISTRATIVE ...
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 84230 / September 20, 2018 ADMINISTRATIVE PROCEEDING File No. 3-18648 In the Matter of BKS Advisors, LLC, Respondent. ORDER APPOINTING TAX ADMINISTRATOR ADMINISTRATIVE PROCEEDING File ...
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 84226 / September 20, 2018 INVESTMENT Advisers Act OF 1940 Release No. 5040 / September 20, 2018 ADMINISTRATIVE PROCEEDING File No. 3-18804 In the Matter of JOEL N. BURSTEIN, ...
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 84224 / September 20, 2018 INVESTMENT COMPANY ACT OF 1940 Release No. 33241 / September 20, 2018 ADMINISTRATIVE PROCEEDING File No. 3-18803 In the Matter of ERIC HALL & ASSOCIATES, ...
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ADMINISTRATIVE PROCEEDINGS RULINGS Release No. 6048/September 20, 2018 ADMINISTRATIVE PROCEEDING File No. 3-17999 In the Matter of: A.C SIMMONDS AND SONS, INC.,: JOSHUA GOLD RESOURCES, INC.,: (f/k/a ...
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Administrative Proceedings Rulings Release No. 6046 / September 20, 2018 Administrative Proceeding File No. 3-17352 In the Matter of Saving2Retire, LLC, and Marian P. Young Order Following Reassignment The ...
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ADMINISTRATIVE PROCEEDINGS RULINGS Release No. 6045/September 20, 2018 ADMINISTRATIVE PROCEEDING File No. 3-17743 In the Matter of: AFN, INC.,: ALLEN ENERGY COMPANY,: ORDER AMERICAN CASCADE ENERGY, INC., ...
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ADMINISTRATIVE PROCEEDINGS RULINGS Release No. 6044/September 20, 2018 ADMINISTRATIVE PROCEEDING File No. 3-18014 In the Matter of:: EVOLUCIA, INC.,: ORDER LEGEND INTERNATIONAL HOLDINGS, INC., and: OSL ...
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Administrative Proceedings Rulings Release No. 6043 / September 20, 2018 Administrative Proceeding File No. 3-18047 In the Matter of Ibex Advanced Mortgage Technology, Inc. Order Following Reassignment The ...
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Administrative Proceedings Rulings Release No. 6042 / September 20, 2018 Administrative Proceeding File No. 3-18097 In the Matter of China Greenstar Corporation, Cortronix Biomedical Advancement ...
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ADMINISTRATIVE PROCEEDINGS RULINGS Release No. 6041/September 20, 2018 ADMINISTRATIVE PROCEEDING File No. 3-18223 In the Matter of:: DEARBORN BANCORP, INC.,: ORDER GREENTECH MINING INTERNATIONAL, INC.,: ...