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Davis Wright Tremaine LLP

Looking Ahead on Debanking Sweep-Up

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Continuing its rapid pace of Executive Orders (EOs), the Trump Administration recently unveiled an Executive Order designed to prevent so-called "debanking," a practice whereby financial institutions refuse to serve clients...more

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SEC Charges Trust Company With Operating Unregistered Investment Companies

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SEC Charges Trust Company with Operating Unregistered Investment Companies and Failing to Register Securities Offerings. On September 30, the Securities and Exchange Commission (SEC) announced it had settled charges with...more

Goodwin

Financial Services Weekly Roundup: Gone Phishing – The SEC’s OCIE Addresses Ransomware Attacks

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In This Issue. The Securities and Exchange Commission (SEC) adopted amendments to its exemptive applications procedures under the Investment Company Act of 1940, as amended (the 1940 Act) and proposed to amend Form 13F to...more

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Financial Services Weekly Roundup: May Introduces Additions And Expansions To Covid-19-related Policies

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In This Issue. The Board of Governors of the Federal Reserve System (Federal Reserve) expanded access to its Paycheck Protection Program Liquidity Facility (PPPLF) to non-bank lenders and expanded the collateral eligible to...more

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