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Financial Regulation & Banking
Banking safety, securities law, fintech, and consumer finance oversight.
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Municipal-securities advisor takes his jury trial fight to a federal appeals court
2+ day, 11+ min ago (481+ words) On September 17, the U.S. Court of Appeals for the Tenth Circuit heard oral arguments in Choice Advisors, LLC, and Matthias O’Meara v. Securities and Exchange Commission—a case that will help decide whether the SEC can strip Americans of their right…...
Senate Banking Committee Advances Brian Johnson’s Nomination to Lead CFPB
2+ day, 4+ hour ago (203+ words) Johnson’s nomination now moves to the full Senate. The Committee’s action was the next step following Johnson’s July 23 confirmation hearing. The Senate has not yet scheduled a floor vote on the nomination. Following the Committee’s favorable vote, Johnson’s nomination will…...
Steptoe Adds Former DOJ And Morgan Stanley Attorney Della Sentilles To Expand Financial Crime And Enforcement Practice
2+ day, 3+ hour ago (301+ words) Steptoe has added Della Sentilles as a partner in its Investigations, White-Collar Defense & Compliance group in New York, strengthening the law firm’s capabilities across financial crime, government enforcement and corporate compliance. Sentilles joins Steptoe from Morgan Stanley, where she served…...
NA Committee Stresses Transparency, Regulatory Oversight In DISCOs, PIA Privatization
3+ day, 4+ hour ago (202+ words) National Assembly Standing Committee on Privatization stressed the need for a transparent, competitive and market-based process, appropriate valuation and reserve price, effective post-privatization regulation and NEPRA oversight, along with periodic financial and performance audits. The committee m.....
CLARITY Act Update After Failure: SEC Chair Breaks Silence, Says 'Stay Tuned"
3+ day, 14+ hour ago (20+ words) SEC Chairman Paul Atkins thanked everyone involved in pushing the CLARITY Act forward, across the administration, Congress, investors and innovators,...
A Proposal on Proposals: Remarks on the Proposals to Rescind Rule 14a-8 and Modernize Proxy Solicitation Rules
4+ day, 4+ hour ago (509+ words) Commissioner Hester M. Peirce Official websites use.gov Secure.gov websites use HTTPS More in this Section A Proposal on Proposals: Remarks on the Proposals to Rescind Rule 14a-8 and Modernize Proxy Solicitation Rules I am pleased to support today’s proposals to…...
SEC proposes to rescind Rule 14a-8, shifting shareholder proposal power back to states
4+ day, 3+ hour ago (246+ words) The agency's sweeping proxy rule overhaul would eliminate a decades-old federal mandate and hand corporate governance authority back to state law and company boards. The rescission of Rule 14a-8 eliminates the federal mandate requiring companies to include shareholder proposals in proxy…...
SEC proposes to roll back shareholder proposal rule
4+ day, 3+ hour ago (18+ words) SEC proposes scrapping Rule 14a-8 and modernizing proxy rules, shifting shareholder proposals to state law and streamlining solicitations....
Bernstein Expects ‘Aggressive’ Rulemaking from SEC, CFTC, Following CLARITY Act Failure
4+ day, 5+ hour ago (25+ words) Bernstein said it expects “aggressive and swift” rulemaking from the SEC and CFTC, after the CLARITY Act failed to pass a cloture vote on Tuesday....