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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 ... A. Stoker , John A. Lightbourne , J. Evan Nogay On April 8, 2025, then Acting Chairman Mark T. Uyeda of the  ...

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

March 25, 2025 ... foreign person, whether directly or indirectly, wholly or partially.” [8]   The Interim Rule also cites a 2018 report by ... Enforcement Delegation .  [7] 31 USC 5336(a)(ii)(xxiv). [8] 31 U.S.C. 5336(a)(11(B)(xx) and ...

The Federal Reserve, FDIC and OCC Issue Final Guidance on Risk Management in Third-Party Relationships

August 2, 2023 ... of the third-party relationship. ( See Final Guidance, pgs. 7-8; 30.)      Definition of Critical Activities : The ...

LEGAL ALERT Re: Consumer Financial Protection Bureau’s Small Business Lending Data Collection under the Equal Credit Opportunity Act

April 18, 2023 ... make any compilations and aggregations of the data publicly available. 8.  What are the recordkeeping requirements? Record Retention Covered Financial ...

Client Alert: Beneficial Ownership Reporting at the Federal Level effective January 1, 2024

October 11, 2022 ... to the regulatory regime laid out in its December 8, 2021 advance notice of proposed rulemaking (See Moore & ... 6] Banks and credit unions; [7] Tax-exempt entities; [8] Charitable trusts; [9] “Inactive entities” - entities ...

FINRA’s Expansion of Safeguards to Prevent the Financial Exploitation of Specified Adults in Rule 2165

September 6, 2022 ... protecting assets, and responding to possible financial exploitation.” [8]   FINRA has previously noted that it encourages firms ... FINRA Rule 4512(a)(1)(F) and (c) . [8] See FAQ 4.1 (containing further information about temporary ...

NYDFS Releases Stablecoin Guidance for NYDFS-regulated Institutions

August 10, 2022 ... . Lightbourne , Jonathan M. Prytherch , John A. Stoker On June 8, 2022, the New York State Department of Financial Services ... compliance with the Guidance’s requirements by September 8, 2022, except that firms will have a “reasonable ...

The Devil Really is in the Details: The SEC Proposed Rule on Cybersecurity Risk Management for Investment Advisors, Registered Investment Companies and BDCs

August 8, 2022 ... Management for Investment Advisors, Registered Investment Companies and BDCs August 8, 2022 Late last month the Securities and Exchange Commission (&ldquo ...

Acting Comptroller Hsu Suggests a Potential Path Forward to Address Identified Gaps in the Regulatory Resolution Framework for Large Regional Banks

April 8, 2022 ... in the Regulatory Resolution Framework for Large Regional Banks April 8, 2022   By:  John A. Stoker , Neil T. Bloomfield ...

CFPB Announces LIBOR Transition’s Final Rule, Amending Provisions of Regulation Z

February 8, 2022 ... Transition’s Final Rule, Amending Provisions of Regulation Z February 8, 2022   By:  Neil T. Bloomfield , Alexis T. Narducci ...