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OCC Proposes Special Fintech Bank Charter

USA - December 9 2016 Responding to numerous requests, the Office of the Comptroller of the Currency (OCC) issued a release (the Release) on December 2, 2016 explaining how...

Kathleen Moriarty, Skanthan Vivekananda, Michael Karol, Henry G. Morriello, George M. Williams, Jr..


SEC Adopts New Rules: Fund Liquidity, Reporting and Disclosure, and “Swing Pricing”

USA - December 6 2016 The Securities and Exchange Commission recently approved new, and amended existing, rules and forms that (i) are intended to enhance liquidity risk...

Kathleen Moriarty, Michael Penney, Jenna B. Levy, Stephen Culhane.


Derivatives Alert: SEC’s Proposed Rule 18f-4 Would Impose Strict Obligations and Significantly Impact Registered Investment Companies Utilizing Derivatives

USA - December 18 2015 The Securities and Exchange Commission voted on December 11, 2015 to propose a rule that would greatly impact the use of derivatives and financial...

Kathleen Moriarty, Michael Penney.


Securities and Exchange Commission approves crowdfunding rules

USA - November 5 2015 The Securities and Exchange Commission adopted "Regulation Crowdfunding" on October 30, allowing companies to raise capital online through low-dollar...

Robert A. Claassen, Evan L. Greebel, Kathleen Moriarty, Michael Penney, Christopher P. Peterson.


CFTC finds that Bitcoin is a commodity

USA - September 23 2015 On September 17, 2015, the US Commodity Futures Trading Commission (CFTC) issued an Order filing and simultaneously settling charges against Coinflip...

Evan L. Greebel, Kathleen Moriarty.