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Acting Chairman Uyeda Suggests Revisiting the Role of State Securities Regulators in Connection with Mid-size Investment Advisers and Securities Registration

April 21, 2025 ... Ashcroft , 745 F. Supp. 3d 783 (W.D. Mo. 2024) which reiterated the limited ... as Rule 506(c) offerings under Regulation D. However, as Acting Chairman Uyeda notes, what ... Ashcroft , 745 F. Supp. 3d 783 (W.D. Mo. 2024). There, SIFMA successfully challenged a ...

CTA Reporting Relief: FinCEN Interim Rule Exempts US Companies from Reporting Beneficial Ownership & Foreign Companies from Reporting Information Regarding US Owners

March 25, 2025 ... new exemptions, to be added at 31 CFR 1010.380(d)(4)(i) and (ii) respectively, read: “Reporting companies are ...

CTA Filing Obligations Back On

February 19, 2025 ... the Treasury et. al .  (6:24-cv-00336 (E.D. Tex.)).    FinCEN announced February 19, 2025, that the ...

Corporate Transparency Act Reporting Obligations Remain Paused Despite Supreme Court Order

January 24, 2025 ... .S. Department of Treasury , No. 6:24-CV-336 (E.D. Texas 1/7/2025), which stayed the effective date of ...

Developments in National Bank Act (NBA) preemption: Illinois’ Interchange Fee Prohibition Act is held preempted by the NBA; Ninth Circuit to Reconsider NBA Preemption of California’s interest on escrow law

January 16, 2025 ... . v. Raoul , No. 24 C 7307, 202 WL 5186840 (N.D. Ill., Dec. 20, 2024). Only a few days later, the ... issued an order and brief opinion on August 22, 2024, D.C. No. 3:18-cv-05131-WHA, reaffirming its 2022 ...

Fifth Circuit Stays District Court’s Nationwide CTA Injunction; entities once again required to report

December 23, 2024 ... Business United v. Yellen , No. 5:22-cv-01448 (N.D. Ala.), with all entities existing prior to 2024 and ...

CTA Nationwide Injunction Suspends Obligation to File Beneficial Ownership Information Reports

December 3, 2024 ... injunction”. Cheekily, the Court stated that it “agree[d] with the Government’s point” and found &ldquo ... Business United v. Yellen , No. 5:22-cv-01448 (N.D. Ala.), which was limited to the plaintiffs and NFIB members ...

OCC Revises Recovery Planning Guidelines for Large Banks

November 6, 2024 ... the Federal Reserve System under their guidance related to 165(d) Plans is focused on testing of the capabilities underlying ... current Covered Banks, as the trigger guidance relevant to 165(d) Plans is largely focused on capital and liquidity metrics. Even ...

THE DESK: MVA’s Swaps & Derivatives Newsletter

October 4, 2024 ... out in the Commodity Exchange Act ( See 7 USC 7(d) ). As of August 2024, there are over 150 derivative contracts ...

FDIC final resolution planning rule increases requirements on large insured depository institutions

August 14, 2024 ... to comments requesting alignment with the rule covering 165(d) Plans. Significant informational requirements for all CIDIs While ... Reserve recently found weaknesses in certain 2023 165(d) Plans related to capabilities for unwinding derivatives, which ...