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Searching Content by Steven Lofchie ordered by Published Date Descending.
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1
Financial Services Subcommittee Examines Private Market Exemptions
At a House Financial Services Subcommittee hearing, representatives considered testimony on the impact of the growth of the private securities markets.
United States
20 Sep 2019
2
CFTC Grants No-Action Relief to CPO from Registration Requirements
The CFTC Division of Swap Dealer and Intermediary Oversight granted a CPO no-action relief from the requirement to register as a CPO
United States
13 Sep 2019
3
State Attorneys General Challenge SEC Regulation Best Interest
New York Attorney General Letitia James and several other state attorneys general (the "Plaintiffs") sued the SEC, alleging that Regulation "Best Interest" ("Reg. BI")
United States
13 Sep 2019
4
Representative Sanctioned For Unsuitable Recommendation Of Complex Financial Product
A general securities representative settled FINRA charges for advising customers to purchase Leveraged and Inverse Exchange Traded Funds ("LIETFs")
United States
12 Sep 2019
5
SEC Chair Jay Clayton Criticizes Foreign Counterparts For Lack Of Anti-Corruption Enforcement
SEC Chair Jay Clayton criticized his foreign counterparts for their lack of anti-corruption enforcement, arguing that only through a collaborative global strategy on fighting offshore bribery will such efforts be successful.
United States
12 Sep 2019
6
NYDFS Approves First Gold-Backed Virtual Currency
The New York State Department of Financial Services ("NYDFS") authorized an existing NYDFS licensee to offer a gold-backed virtual currency.
United States
11 Sep 2019
7
SEC Commissioners Raise Issues With Proposed Amendments To Reporting Regulations
SEC Commissioners Robert J. Jackson Jr. and Allison Herren Lee expressed concern over recently proposed amendments to reporting requirements ("Regulation S-K")
United States
30 Aug 2019
8
FINRA Charges Broker-Dealer For "Exorbitant And Arbitrary" Fees
In a disciplinary proceeding, FINRA charged a broker-dealer in connection with imposing "exorbitant and arbitrary" customer account fees.
United States
27 Aug 2019
9
Federal Register: SEC Adopts Swap Capital, Margin and Segregation Requirements
The SEC final rule to establish security-based swap capital, margin and segregation requirements was published in the Federal Register.
United States
27 Aug 2019
10
SEC Provides Proxy Voting Guidance, Clarifies Obligations of Advisers
In a three-to-two vote, the SEC approved (i) guidance on an investment adviser's responsibilities in proxy voting and in vetting any advice that the adviser may itself receive from a proxy advisor
United States
26 Aug 2019
11
Regulators Emphasize Importance Of Capital Investment
In a separate address at the Forum, Ms. Miller stressed the importance to the economy of capital formation and investment in new companies.
United States
22 Aug 2019
12
SEC Charges "Financial Guru" In ICO Fraud Scheme
The U.S. District Court for the Eastern District of New York froze the assets of a "self-described financial guru" charged with defrauding
United States
16 Aug 2019
13
NY State Supreme Court Upholds NYDFS "Best Interest" Regulation
The New York State Supreme Court recently ruled that the New York Department of Financial Services ("DFS") had the authority to enact an amendment to its rules
United States
13 Aug 2019
14
NCUA Renames Office Of Public And Congressional Affairs
On August 8, 2019, the National Credit Union Administration ("NCUA") renamed the "Office of Public and Congressional Affairs.
United States
13 Aug 2019
15
SEC Commissioner Hester Peirce Champions "Marie Kondo" Approach to Regulation
SEC Commissioner Hester M. Peirce expressed support for SEC Chair Jay Clayton's initiative to review outdated regulations.
United States
13 Aug 2019
16
CFPB Highlights Analysis On The Use Of Non-Traditional Data In Credit Process
The CFPB highlighted the results of an analysis comparing the uses of traditional and non-traditional sources of information by consumers in the credit process.
United States
9 Aug 2019
17
Global Regulators Express Concern With Libra Network's Ability To Protect Consumer Data
Data protection and privacy enforcement regulators expressed concern with the lack of information provided by Facebook and other members of the Libra Network regarding the proposed cryptocurrency.
United States
8 Aug 2019
18
FRB Staff Considers Bilateral Versus Central Clearing
In a new working paper, staff at the Federal Reserve Board Divisions of Research and Statistics and of Monetary Affairs analyzed "the desirability of central versus bilateral clearing.
United States
8 Aug 2019
19
CFTC Commissioner Dan Berkovitz Warns Of Systemic Risk From Clearing Services Concentration
In a speech before the National Cattlemen's Beef Association, CFTC Commissioner Dan M. Berkovitz expressed concerns about the concentration in clearing services and the systemic risk resulting from the materially reduced number of FCMs.
United States
6 Aug 2019
20
NASAA Urges Broker-Dealers To Update Policies On Non-Traditional ETFs
The North American Securities Administrators Association ("NASAA") advised broker-dealers to review sales practices for non-traditional exchange-traded funds ("ETFs"), warning that these products pose unique risks.
United States
6 Aug 2019
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