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Financial Institutions › Underwriting › Securities and Exchange Commission (SEC)

Nutter McClennen & Fish LLP

Nutter Bank Report: April 2025

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The Federal Reserve has announced multiple decisions to rescind existing requirements for crypto-asset activities. The April 24 announcement included the rescission of a 2022 supervisory letter that required state member...more

Winstead PC

SEC’s Fort Worth Regional Office Investigating Underwriter Disclosures on Environmental, Social, and Governance Issues

Winstead PC on

It’s not a secret that, under the Biden administration, the Securities and Exchange Commission has prioritized enforcement of disclosures concerning Environmental, Social, and Governance Issues (ESG), going so far as to form...more

Goodwin

Federal Reserve Proposes Rules To Modernize Regulations That Implement CRA

Goodwin on

In the News. The Board of Governors of the Federal Reserve System (Federal Reserve) proposed rules to modernize the regulations that implement the Community Reinvestment Act (CRA); the Conference of State Bank Supervisors...more

McNees Wallace & Nurick LLC

SEC Proposes Amendments to Rule 15c2-12 to Address Bank Loan Disclosure Concerns

McNees Wallace & Nurick LLC on

At its meeting on March 1, 2017, the United States Securities and Exchange Commission (SEC) voted to formally propose and publish for comment amendments to Rule 15c2-12 to add two additional disclosure events to written...more

Morrison & Foerster LLP

Structured Thoughts: News for the financial services community, Volume 6, Issue 5

Morrison & Foerster LLP on

OCIE Issues Risk Alert Relating to Structured Note Sales - Earlier this year, the SEC’s Office of Compliance Inspections and Examinations (the “OCIE”) indicated branch offices and structured products as two of its...more

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