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Commodities Futures Trading Commission FinCEN Financial Industry Regulatory Authority (FINRA)

The United States Commodities Futures Trading Commission was created in 1974 to regulate commodity futures and option markets. The Commission’s mission is to protect market participants and the public from... more +
The United States Commodities Futures Trading Commission was created in 1974 to regulate commodity futures and option markets. The Commission’s mission is to protect market participants and the public from fraud, abuse, and systemic risk associated with derivatives subject to the Commodities Exchange Act. In 2010, as a result of the Frank-Dodd Wall Street Reform and Consumer Protection, the Commission’s role was expanded to include drafting rules for regulating the swaps marketplace. less -
Paul Hastings LLP

Daily Financial Regulation Update -- Thursday, April 10, 2025

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April 9, 2025- The U.S. House Committee on Financial Services Subcommittee on Digital Assets, Financial Technology and Artificial Intelligence held a hearing entitled “American Innovation and the Future of Digital Assets...more

Paul Hastings LLP

Daily Financial Regulation Update -- Thursday December 19

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December 18, 2024- The Federal Open Markets Committee decided to lower the target range for the federal funds rate by 1/4 percentage point to 4-1/4 to 4-1/2 percent. The Board of Governors of the Federal Reserve System...more

Foodman CPAs & Advisors

Pig Butchering Crypto Scams Rising

Pig Butchering Crypto Scams are scams which resemble the practice of fattening a hog before slaughter....more

Katten Muchin Rosenman LLP

Financial Markets and Funds Quick Take | Issue 30

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

Davis Wright Tremaine LLP

Broker Dealer Regulatory Digest - May 2024 - 2

Securities and Exchange Commission. Customer ID requirements. On May 13, 2024, SEC and FinCEN proposed a rule designed to make it more difficult for criminal actors to establish customer relationships with investment...more

Davis Wright Tremaine LLP

Broker Dealer Regulatory Digest - March 2024

Editor's Note: The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency, specifically...more

Paul Hastings LLP

Daily Financial Regulation Update -- Monday, March 18, 2024

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March 15, 2024 - The Federal Reserve Board published the latest G.17 industrial production and capacity utilization data from February 2024. March 15, 2024 - The Federal Reserve Bank of New York published the Empire...more

Katten Muchin Rosenman LLP

Financial Markets and Funds Quick Take | Issue 24

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

Paul Hastings LLP

Daily Financial Regulation Update -- Wednesday, January 10 2024

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January 9, 2024- The Federal Reserve Board released the minutes from the recent meetings that occurred on November 13 through December 13, 2023 to review and determine the discount rates provided to depository institutions...more

Paul Hastings LLP

Daily Financial Regulation Update -- Tuesday, November 7, 2023

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November 6, 2023- The Bank of England, Prudential Regulation Authority, and UK Financial Conduct Authority published their proposed approach to innovation in payments, money and money-like instruments. The proposals are...more

Paul Hastings LLP

Daily Financial Regulation Update -- Tuesday, June 13, 2023

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June 12, 2023 The Accountability Through Confirmation Act and the Protecting Small Business Information Act have each been introduced to reform the Financial Crimes Enforcement Network (FinCEN)....more

Paul Hastings LLP

Daily Financial Regulation Update -- Friday, October 28, 2022

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October 27, 2022- U.S. Deputy Secretary of the Treasury Wally Adeyemo participated in a virtual roundtable with key stakeholders on climate impact, equity and the Inflation Reduction Act....more

Paul Hastings LLP

Daily Financial Regulation Update -- Friday, October 7, 2022

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October 6, 2022- U.S. Secretary of the Treasury Janet L. Yellen announced that Treasury has signed a loan agreement for the Clean Technology Fund—a multilateral trust fund which helps to scale up low carbon technologies in...more

Goodwin

FinCEN Issues Proposed Rule for Beneficial Ownership Information Reporting Requirements

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In This Issue. The Financial Crimes Enforcement Network (FinCEN) announced (1) a notice of proposed rulemaking for beneficial ownership information reporting requirements and (2) a regulatory process for new real estate...more

Katten Muchin Rosenman LLP

Bridging The Week - March 2020 #2

Last week, international regulators began issuing guidance and/or relief to impacted firms in response to the spread of COVID-19. The impact of this novel coronavirus has already begun materially to affect operations and...more

Eversheds Sutherland (US) LLP

Recent regulatory developments regarding AML requirements for broker-dealers

On October 11, 2019, the leaders of the US Securities and Exchange Commission (SEC), the US Commodity Futures Trading Commission (CFTC), and the US Treasury Department’s Financial Crimes Enforcement Network (FinCEN) issued a...more

Katten Muchin Rosenman LLP

Bridging the Weeks - July 2019 #4

The Commodity Futures Trading Commission and the Securities and Exchange Commission brought separate enforcement actions against the portfolio manager of a hedge fund for mismarking valuations of interest rate swaps in order...more

Katten Muchin Rosenman LLP

Bridging the Week - May 2019 #2

Last week may not have been the best of times or the worst of times (to borrow from Charles Dickens), but it was undoubtedly a time that three United States financial services regulators issued important guidance on disparate...more

White & Case LLP

Review of Anti-Money Laundering and Sanctions Policy and Enforcement

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TABLE OF CONTENTS: Executive Summary - Developments and Trends in Policy and Enforcement - US Department of the Treasury - The Office of Foreign Assets Control - Treasury's Financial Crimes Enforcement Network -...more

Perkins Coie

Blockchain Week in Review - October 2018

Perkins Coie on

U.S. Developments - Federal Bank Regulators Issue Joint Statement on Collaborative BSA/AML Compliance - On October 3, 2018, a group of federal bank regulators and the Financial Crimes Enforcement Network (“FinCEN”)...more

Wilson Sonsini Goodrich & Rosati

WSGR Fintech Update - September 2017

FinCEN Sanctions Offshore Virtual Currency Exchange - The Financial Crimes Enforcement Network (FinCEN) recently imposed civil money penalties of over $122 million against BTC-e (also known as Canton Business Corporation)...more

BakerHostetler

Spoofing, Sports and the Panama Papers: BakerHostetler Offers Mid-Year Review of Cross-Border Government Investigations and...

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Halfway through 2016, the international community has seen a staggering variety of cross-border investigations and enforcement actions. Brexit, the release of the Panama Papers, allegations of widespread sports doping and the...more

Goodwin

Financial Services Weekly News - January 2016 #2

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Regulatory Developments - Client Alert: FINRA Releases 2016 Regulatory and Examination Priorities Letter - Goodwin Procter’s Investment Management practice has issued a client alert on FINRA’s Jan. 5 release of its...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume IX, Issue 46

In this issue: - US Court of Appeals for the District of Columbia Circuit Grants Petition for Rehearing of Decision on Conflicts Minerals Rule - Register for Our 2015 Proxy Season Update Webinar - SEC...more

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