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 September 19, 2023, the jurisdictional boundaries between the regulation of swaps by the Commodity Futures Trading Commission (the “CFTC”) and the regulation of security-based swaps (“SBSs”) by the Securities and Exchange...more
Last Friday, the Federal Reserve Board (“FRB”) and Federal Deposit Insurance Corporation (“FDIC”) released reports evaluating their supervision of the failed Silicon Valley Bank (“SVB”) and Signature Bank (“Signature”),...more
5/5/2023
/ Bank Accounts ,
Federal Reserve ,
Financial Institutions ,
Financial Markets ,
Financial Services Industry ,
FRB ,
GAO ,
Receivership ,
Regulatory Oversight ,
Silicon Valley ,
Supervisory Highlights
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