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All Things FinReg Blog

Articles: 1-10 of 205

CFPB Announces Revised Supervisory Appeals Process

USA - February 20 2024 The Consumer Financial Protection Bureau (CFPB) on February 16 issued an internal process regulation—effective immediately upon publication in…

OCC Proposes Substantive and Procedural Revisions for Bank Mergers

USA - February 2 2024 The US Office of the Comptroller of the Currency (OCC) on January 29 proposed meaningful revisions to its rules and processes for reviewing proposed…

Remote and Hybrid Work: FINRA Announces Effective Dates of New Rules

USA - January 29 2024 The die is cast: FINRA has published Regulatory Notice 24-02 (RN 24-02) announcing the effective dates and other key dates and considerations for its…

SEC Adopts New Treasury Clearing Rules

USA - December 14 2023 On December 13, 2023, the US Securities and Exchange Commission (SEC) adopted rule amendments (Treasury Clearing Rules) designed to improve risk…

SEC Set to Adopt Treasury Clearing Rules at Its Dec. 13 Meeting

USA - December 8 2023 At its next open meeting on December 13, 2023, the US Securities and Exchange Commission (SEC) is expected to adopt rules (the Treasury Clearing…

Regulation, Innovation, and Authentication: What’s on the Horizon for Fintechs in 2024

USA - November 21 2023 Financial services is perhaps the most regulated industry in the world, and the intersection between financial services, technology, and law remains…

SEC Adopts Securities Lending Reporting Rules

USA - October 13 2023 On October 13, 2023, the US Securities and Exchange Commission (SEC) adopted Rule 10c-1a requiring the reporting and dissemination of certain details…

Federal Reserve Announces Supervisory Developments for Dollar Tokens and ‘Novel Activities’ - But What’s New?

USA - August 11 2023 The Board of Governors of the Federal Reserve System (Federal Reserve) took another tepid step into the digital asset space on August 8, announcing…

Increased Scrutiny of Uninsured Deposits Continues: FDIC Reminds IDIs of Uninsured Deposit Reporting Obligations

USA - July 28 2023 The Federal Deposit Insurance Corporation (FDIC) continued the focus shown over the last several months, and especially since the March 2023 failure…

CFTC Issues Amended Order of DCO Registration and Advisory on Digital Asset Clearing Risks

USA - June 8 2023 In contrast to the "regulation by enforcement" theme to which those in the digital assets community have become accustomed, the Commodity Futures…