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All Things FinReg Blog

Articles: 1-10 of 185

CFPB Proposes Additional Reporting Requirements on Non-Bank Financial Institutions

USA - January 25 2023 For the second time in a month, the Consumer Financial Protection Bureau (CFPB) has proposed a new rule that would require businesses to report…

Court OKs CFTC’s Service of Process Through Online Forum, Chat Box in Ooki DAO Action

USA - December 22 2022 The US District Court for the Northern District of California ruled on December 20, 2022, that the Commodity Futures Trading Commission (CFTC)…

FDIC Proposes Updates on Its Official Signage Rule To Better Align With Changing Banking Landscape

USA - December 21 2022 The FDIC Board of Directors issued a proposal on December 13 amending and updating the rules regarding the use of the official FDIC sign and…

SEC Staff Clarifies Position on Disaggregation for Section 13(d) and 16(a) Reporting by Certain ETF Authorized Participants

USA - December 16 2022 The SEC’s Division of Corporation Finance recently posted new compliance and Disclosure Interpretations concluding that any registered broker-dealer…

SEC Proposes Equity Market Overhaul and Best Execution Rule

USA - December 14 2022 On December 14, 2022, the US Securities and Exchange Commission (SEC) proposed a fundamental restructuring of the US equity markets in the form of…

SEC to Propose Major Market Structure Overhaul

USA - December 7 2022 At its next open meeting on December 14, 2022, the US Securities and Exchange Commission is expected to propose a series of rules and rule amendments…

Congressional Hearings on FTX Collapse May Lead to Crypto Regulations

USA - December 5 2022 The Senate Agriculture, Nutrition & Forestry Committee held a hearing, “Why Congress Needs to Act: Lessons Learned From the FTX Collapse,” on…

Beware Congressional Oversight in FTX/Alameda Investigations

USA - November 23 2022 The House of Representatives and the Senate took the first steps in response to the collapse of FTX this week. The Senate Agriculture Committee has…

UK Government to Modify Default Fund Charge Cap for Defined Contribution

United Kingdom - October 12 2022 Kwasi Kwarteng, the Chancellor of the Exchequer of the new UK government led by Prime Minister Liz Truss, presented his “Growth Plan 2022” to…

Recent FinCEN UBO Regulations May Inform Compliance Requirements for Trade-Related Agencies

USA - October 10 2022 The Financial Crimes Enforcement Network (FinCEN) of the US Department of the Treasury issued a final rule on September 29, 2022, implementing the…