Tag: financial_regulation
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Federal Reserve Finalizes Changes to Stress Test Transparency and Capital Requirements
The Federal Reserve Board has finalized changes aimed at enhancing transparency and public accountability in its stress tests while reducing volatility in stress test-related capital requirements.
BusinessPolitics and GovernmentUSABankingFinancial MarketsFederal GovernmentEconomy Federal Reserve Boardstress testcapital requirementsbank regulationfinancial regulationBoard of Governors of the Federal Reserve SystemWashington DCU.S. Federal Reserve
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Federal Reserve and Agencies Publish Resolution Plan Feedback Letters for 15 Banking Organizations
Federal banking agencies released resolution plan feedback letters for 15 banking organizations, detailing their assessments of how the firms could be wound down in an orderly way.
BusinessPolitics and GovernmentUSABankingFederal GovernmentEconomy Federal ReserveResolution PlansBanking OrganizationsBoard of GovernorsFederal Reserve SystemBank RegulationFinancial RegulationU.S. Federal Reserve
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Federal Reserve Releases Senior Credit Officer Opinion Survey on Dealer Financing Terms
The Federal Reserve Board has published its Senior Credit Officer Opinion Survey on Dealer Financing Terms, a regular assessment of credit conditions in dealer financing markets.
BusinessPolitics and GovernmentUSAFederal GovernmentBankingFinancial MarketsEconomy Federal Reserve BoardSenior Credit Officer Opinion SurveyDealer Financing TermsWashington DCCredit ConditionsFinancial RegulationU.S. Federal Reserve
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SEC Commissioner Peirce Issues "Slumber Number" Innovation Exemption Statement
SEC Commissioner Hester M. Peirce has released a new statement titled "Slumber Number: Innovation Exemption Statement," posted to the agency's Speeches and Statements page.
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegalEconomy Securities and Exchange CommissionHester M. PeirceSlumber NumberInnovation Exemption StatementSEC Speeches and StatementsFinancial Regulation
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SEC Commissioner Uyeda Issues Statement on the Innovation Exemption
SEC Commissioner Mark T. Uyeda has released a statement on the Innovation Exemption, posted to the agency's Speeches and Statements page.
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegalEconomy Securities and Exchange CommissionMark T. UyedaInnovation ExemptionSEC CommissionerSpeeches and StatementsFinancial Regulation
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SEC Chairman Atkins Issues Statement on the Innovation Exemption
SEC Chairman Paul S. Atkins has released a statement titled "The Innovation Exemption: A Bridge Toward Durable Rulemaking," posted to the agency's Speeches and Statements page.
BusinessPolitics and GovernmentLaw EnforcementFederal GovernmentFinancial MarketsLegalGeneral Politics Securities and Exchange CommissionPaul S. AtkinsInnovation ExemptionRulemakingSpeeches and StatementsFinancial Regulation
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CFTC Grants 10 Whistleblower Awards Totaling Over $150 Million
The Commodity Futures Trading Commission awarded 10 whistleblowers more than $150 million in final determinations issued between July and September 2026, recognizing original information that led to successful enforcement actions.
BusinessLaw EnforcementUSAFederal GovernmentLegalFinancial Markets Commodity Futures Trading Commissionwhistleblower awardsCFTC enforcementWhistleblower.govfinancial regulation
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CFTC Approves Final Rule Setting 30 Percent Presumption for Smaller Whistleblower Awards
The Commodity Futures Trading Commission approved a final rule creating a 30 percent presumption for whistleblower awards of $5 million or less, subject to Commission discretion and regulatory factors.
Politics and GovernmentBusinessUSAFederal GovernmentLegalFinancial MarketsLaw Enforcement Commodity Futures Trading Commissionwhistleblower awardsfinal ruleWhistleblower Award DeterminationCFTCfinancial regulation
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Agencies Reduce Regulatory Burden for Community Banks, Increase 18-Month Exam Cycle Eligibility
The Federal Reserve Board released a notice stating that agencies are reducing regulatory burden for community banks and increasing eligibility for the 18-month examination cycle.
BusinessPolitics and GovernmentBankingFederal GovernmentEconomyLegal Federal Reserve Boardcommunity banksregulatory burden18-month examination cyclebank regulationfinancial regulationBoard of GovernorsU.S. Federal Reserve
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SEC Commissioner Uyeda Remarks Published After Investor Advisory Committee Meeting
The Securities and Exchange Commission has posted Commissioner Mark T. Uyeda's remarks delivered at the agency's Investor Advisory Committee meeting, adding to its published speeches and statements.
Politics and GovernmentBusinessFederal GovernmentFinancial MarketsLegal Securities and Exchange CommissionMark T. UyedaInvestor Advisory CommitteeSEC speeches and statementsFinancial regulationBusiness and Finance
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Federal Reserve Terminates Enforcement Actions Against Three Banks
The Federal Reserve Board has terminated enforcement actions against United Texas Bank, Quontic Bank Acquisition Corp., and Quontic Bank Holdings Corp. This move concludes regulatory oversight for the three financial institutions.
BusinessPolitics and GovernmentBankingFederal GovernmentEconomyLegal Federal Reserve BoardUnited Texas BankQuontic Bank Acquisition Corp.Quontic Bank Holdings Corp.enforcement actionsfinancial regulationU.S. Federal Reserve
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SEC Commissioner Peirce Addresses Pay-to-Play Rule Rescission
SEC Commissioner Hester M. Peirce has released a statement, "First Amendment Sense and Sensibilities," discussing the proposed rescission of the pay-to-play rule. The statement is now available on the SEC's newsroom.
Politics and GovernmentBusinessFederal GovernmentEconomyLegal Hester M. PeirceSECPay-to-Play RuleRescissionFirst AmendmentFinancial RegulationSecurities
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SEC Commissioner Uyeda Comments on Proposed "Pay-to-Play" Rule Rescission
SEC Commissioner Mark T. Uyeda has released a statement regarding the proposed rescission of Rule 206(4)-5 under the Investment Advisers Act, known as the "pay-to-play" rule, addressing its potential implications.
Politics and GovernmentBusinessFederal GovernmentFinancial MarketsLegalEconomy Mark T. UyedaSecurities and Exchange CommissionInvestment Advisers ActRule 206(4)-5Pay-to-playProposed RescissionFinancial Regulation
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SEC Proposes Rescission of Investment Adviser "Pay-to-Play" Rule
The SEC has proposed rescinding its "pay-to-play" rule, which currently prohibits investment advisers from offering compensated services to government clients for two years after making political contributions. This move could reshape adviser-government interactions.
Politics and GovernmentBusinessFederal GovernmentEconomyFinancial MarketsLegalGeneral Politics Securities and Exchange CommissionInvestment AdvisersPay-to-Play RulePolitical ContributionsGovernment ClientsFinancial Regulation
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SEC Chairman Atkins Comments on 'Pay-to-Play' Rule Rescission Proposal
SEC Chairman Paul S. Atkins has issued a statement concerning a proposal to rescind the 'Pay-to-Play' rule. This development from the Securities and Exchange Commission highlights ongoing regulatory discussions.
BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsLegalEconomy SECPaul S. AtkinsPay-to-Play RuleRescissionFinancial RegulationSecurities and Exchange CommissionGovernment
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SEC Investor Advisory Committee to Address AI in Public Markets
The SEC's Investor Advisory Committee will meet on September 10 in Washington D.C. to discuss artificial intelligence technologies in public markets and the SEC's response to these advancements.
BusinessPolitics and GovernmentScience & TechnologyFederal GovernmentFinancial MarketsArtificial IntelligenceEducation SECInvestor Advisory CommitteePublic MarketsWashington D.C.Financial RegulationMeeting
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CFTC Issues No-Action Letter to Electron Exchange for Large Trader Reporting
The CFTC's Division of Market Oversight has issued a no-action letter to Electron Exchange DCM LLC, allowing it to submit large trader reporting for direct participants as if their contracts were exclusively self-cleared.
Politics and GovernmentBusinessFederal GovernmentEconomyFinancial Markets CFTCElectron Exchange DCM LLCDivision of Market OversightNo-action letterLarge trader reportingFinancial regulationCommodity Futures
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CFTC Modifies Clearing Requirement for Canadian Dollar and Mexican Peso Interest Rate Swaps
The CFTC has updated its interest rate swap clearing rules, removing requirements for CADOR and TIIE-referenced swaps. New rules mandate clearing for Canadian dollar and Mexican peso-denominated swaps tied to overnight, nearly risk-free rates.
BusinessPolitics and GovernmentUSA CFTCInterest Rate SwapsClearing RequirementCanadian DollarMexican PesoFinancial RegulationDerivatives Clearing Organization
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Federal Agencies Clarify SAR Confidentiality for Banks on Customer Fraud Communications
Federal agencies clarified Suspicious Activity Report confidentiality for banks communicating with customers about fraud. The joint statement aims to guide financial institutions on balancing disclosure with regulatory requirements.
BusinessPolitics and GovernmentFederal GovernmentBankingLegalEconomy Suspicious Activity ReportsFinancial RegulationFraudFinCENOCCConfidentialityOffice of the Comptroller of the Currency (OCC)
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FinCEN and Federal Agencies Clarify SAR Confidentiality for Customer Communications
FinCEN and federal banking agencies clarify SAR confidentiality rules, allowing banks to discuss underlying facts of suspicious transactions and account closures with customers without revealing SAR existence, enhancing transparency in fraud investigations.
BusinessPolitics and GovernmentLaw EnforcementFederal GovernmentBankingLegalEducationSocial Issues Financial Crimes Enforcement NetworkSuspicious Activity ReportSAR ConfidentialityFraudCustomer CommunicationFinancial Regulation
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SEC Proposes Modernizing Rules for Transfer Agents
The SEC has proposed modernizing rules for registered transfer agents. These agents are vital to the national clearance and settlement system, and the updates reflect their evolving and diverse functions.
BusinessPolitics and GovernmentLegal Securities and Exchange CommissionSECTransfer AgentsFinancial RegulationNational Clearance and Settlement SystemRule ModernizationFinancial Services
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SEC Commissioner Peirce Issues Statement on Proposed Transfer Agent Rules
SEC Commissioner Hester M. Peirce has released a statement titled 'Time to Transfer,' addressing proposed rules for transfer agents. The statement is now available on the SEC's newsroom.
BusinessPolitics and Government Securities and Exchange CommissionHester M. PeirceTransfer Agent RulesFinancial RegulationSECStatement
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SEC Commissioner Uyeda Comments on Proposed Transfer Agent Rule Amendments
Commissioner Mark T. Uyeda of the Securities and Exchange Commission has issued a statement concerning proposed amendments to the SEC’s Transfer Agent Rules. This new information, detailing potential regulatory changes, is now accessible on the SEC's official newsroom.
BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsLegal Securities and Exchange CommissionSECMark T. UyedaTransfer Agent RulesRegulatory AmendmentsFinancial RegulationGovernment
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OCC Releases August 2026 CRA Performance Evaluations for 23 Institutions
The OCC has published Community Reinvestment Act performance evaluations for 23 national banks and federal savings associations for August 2026. Ratings include "Outstanding" and "Satisfactory," reflecting their commitment to community credit needs.
Politics and GovernmentBusinessUSAFederal GovernmentBankingEconomySocial IssuesLegal Office of the Comptroller of the CurrencyCommunity Reinvestment ActFinancial RegulationPerformance EvaluationsNational BanksFederal Savings AssociationsOffice of the Comptroller of the Currency (OCC)
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Regulators Push Back Form PF Compliance to July 2027
The CFTC and SEC have jointly extended the compliance deadline for Form PF amendments from October 2026 to July 2027. This provides more time for investment advisers to private funds, including CPOs and CTAs, to meet new reporting requirements.
BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsLegalEconomy CFTCSECForm PFComplianceInvestment AdvisersPrivate FundsFinancial Regulation
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SEC Chairman Atkins Issues Statement on 2024 Form PF Amendments Extension
SEC Chairman Paul S. Atkins has released a statement on the extension of 2024 Form PF Amendments. The new information from the Securities and Exchange Commission is now publicly available, detailing the latest updates.
BusinessPolitics and GovernmentFinancial MarketsFederal GovernmentLegalEconomy Securities and Exchange CommissionSECPaul S. AtkinsForm PF AmendmentsExtensionFinancial RegulationStatements
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G20 Finance Leaders Convene in Asheville, U.S. Prioritizes Global Growth and Financial Stability
G20 finance leaders meet in Asheville, North Carolina, with the U.S. Treasury pushing for global economic growth, private investment, and updated financial rules. The meeting also highlights North Carolina's post-Hurricane Helene recovery and strong economic performance.
Politics and GovernmentBusinessWorldGeneral PoliticsFederal GovernmentEconomyFinancial MarketsEmployment and LaborEducation G20AshevilleUS TreasuryEconomic GrowthFinancial RegulationSovereign DebtNorth Carolina
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SEC Proposes Adding EU Debt to Exempted Obligations List
The SEC has proposed amending Rule 3a12-8 to classify European Union debt obligations as "exempted securities." This move could alter how these international financial instruments are regulated under U.S. law.
BusinessPolitics and GovernmentWorldEconomyFinancial MarketsFederal GovernmentLegalEurope Securities and Exchange CommissionEuropean UnionDebt ObligationsExempted SecuritiesFinancial RegulationRule 3a12-8US Securities Law
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Federal Reserve Board Approves National Westminster Bank Plc Application
The Federal Reserve Board has announced its approval of an application submitted by National Westminster Bank Plc, signaling a regulatory green light for the bank's operations.
BusinessPolitics and GovernmentBankingFederal GovernmentFinancial Markets Federal Reserve BoardNational Westminster Bank PlcApplication ApprovalFinancial RegulationGovernmentU.S. Federal Reserve
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CFTC Proposes Eliminating SEF Order Book Requirement
The CFTC proposes removing the order book requirement for swap execution facilities (SEFs) for permitted transactions. The agency is seeking public comments on this amendment to regulation § 37.3(a)(2), aiming to modify existing swap transaction execution rules.
BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsLegalEconomy CFTCSwap Execution FacilitiesSEFOrder BookFinancial RegulationPublic CommentsRegulation