On an aggregate basis, banking industry net revenue improved in Q1 despite flattish NIM on near-record non-interest income and expense improvements....more
6/2/2025
/ Banking Sector ,
Banks ,
Call Reports ,
Capital Calls ,
Capital Requirements ,
Federal Reserve ,
Financial Institutions ,
Financial Regulatory Reform ,
Financial Services Industry ,
Regulatory Reform ,
Regulatory Requirements ,
U.S. Treasury
On February 25th, 2025, the Commodity Futures Trading Commission’s (“CFTC”) Division of Enforcement (“Division”) issued a long-awaited advisory (the “Advisory”) regarding its evaluation of how a company’s or individual’s...more
3/11/2025
/ CFTC ,
Compliance ,
Disclosure Requirements ,
Enforcement Actions ,
Enforcement Priorities ,
Financial Regulatory Reform ,
Fraud ,
Regulatory Oversight ,
Regulatory Requirements ,
Risk Management ,
Securities Fraud ,
Self-Reporting ,
White Collar Crimes
On July 27, 2023, the U.S. federal prudential bank regulators (the Federal Deposit Insurance Corporation, the Federal Reserve Board (“FRB”) and the Office of the Comptroller of the Currency) proposed new capital requirements...more
In a speech made at the Bipartisan Policy Center (“BPC”) on Monday, the Federal Reserve’s Vice Chair for Supervision, Michael S. Barr, communicated preliminary recommendations stemming from the holistic review of capital...more
On August 26, 2020, by a 3-2 vote, the Securities and Exchange Commission (the “SEC”) adopted rule changes that generally expand the scope of the definitions of “accredited investor” in Rule 501(a) of Regulation D and of...more
8/28/2020
/ Accredited Investors ,
Asset Management ,
Financial Regulatory Reform ,
Investment Opportunities ,
Private Funds ,
Qualified Institutional Buyers ,
Registered Investment Advisors ,
Rule 144A ,
Rural Business Investment Companies (RBICs) ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
By a 3-2 vote, the Securities and Exchange Commission (the “SEC”) approved the publication of a release on December 18, 2019, generally expanding the scope of the definitions of “accredited investor” in Rule 501(a) of...more
1/23/2020
/ Accredited Investors ,
Family Offices ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Regulatory Reform ,
Investment Advisers Act of 1940 ,
Investment Opportunities ,
Limited Liability Company (LLC) ,
Proposed Amendments ,
Qualified Institutional Buyers ,
Regulation D ,
Regulatory Oversight ,
Regulatory Requirements ,
Rule 144A ,
Rule 163B ,
Rule 501(a) ,
Rulemaking Process ,
Rural Business Investment Companies (RBICs) ,
Securities Act ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Regulation
The Commodity Futures Trading Commission (the “CFTC”) approved the publication of two releases (the “Final Rules”) on November 25, 2019, adopting final amendments to Part 4 of the CFTC Rules which codify and expand a number...more
1/17/2020
/ CFTC ,
Commodities ,
Commodity Pool ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Exemptions ,
Final Rules ,
Financial Regulatory Reform ,
JOBS Act ,
No-Action Letters ,
Proposed Amendments ,
Registered Investment Advisors ,
Registered Investment Companies (RICs) ,
Registration Requirement ,
Regulatory Requirements ,
Reporting Requirements ,
Rulemaking Process ,
Securities and Exchange Commission (SEC)
The Securities and Exchange Commission (the “Commission” or the ”SEC”), on November 4, approved the publication of a substantial release (the “Release”) proposing significant amendments to the rules under the Investment...more
12/3/2019
/ Advertising ,
Disqualification ,
Financial Regulatory Reform ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Proposed Amendments ,
Recordkeeping Requirements ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Solicitation ,
Solicitation Provisions ,
Written Agreements