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News & Commentary on Financial Regulatory and Compliance Matters
11th Circuit
11th Circuit Answers When Would-Be ‘Customers’ May Bring a FINRA Arbitration Against FINRA Members and Associated PersonsFDCPA – 11TH Circuit: Kinlock v. Wells Fargo Bank – Post-Foreclosure Offers of Financial Assistance to Defaulted Borrower Not Violative of FDCPA/Florida Consumer Collection Protection Act Bankruptcy
Are Syndicated Term Loans Securities Under Reves v. Ernst & Young? 2nd Circuit Solicits SEC ViewsThe 2023 Banking Crisis: Updated Questions & Answers for Insured and Uninsured Depositors, Other Affected PartiesThe 2023 Banking Contagion: Questions & Answers for Insured and Uninsured Depositors, Other Affected Parties Blockchain Technology Task Force
Crypto Exchange Bittrex Settles $53 Million in Fines with Treasury Department for Sanctions, Anti-Money-Laundering ViolationsFlorida Gov. Signs Bill that Defines ‘Virtual Currency’ and Eases Licensing Restrictions on Certain Virtual Currency Transactions in the StateFinCEN Proposes to Extend Recordkeeping, Reporting, and Identity Verification Requirements to Certain Virtual Currency and Digital Asset Transactions convertible virtual currency
Florida Gov. Signs Bill that Defines ‘Virtual Currency’ and Eases Licensing Restrictions on Certain Virtual Currency Transactions in the StateFinCEN Proposes to Extend Recordkeeping, Reporting, and Identity Verification Requirements to Certain Virtual Currency and Digital Asset TransactionsSEC Issues No-Action Letter Facilitating the Secondary Trading of Digital Assets Digital Assests
FinCEN Proposes Rule to Address Money Laundering and Terrorist Financing Risks Associated with CVC MixingNYDFS Updates Guidance on Virtual Coin-Listing/Delisting Frameworks and the GreenlistFederal Reserve, FDIC, and OCC Issue 2nd Joint Statement Highlighting Liquidity Risks to Banks Engaged in Crypto-Asset-Related Activities Florida
Florida Amends Securities and Investor Protection Act: Key Changes to Private Placement, Institutional Investor ExemptionsNew Florida Law Creates House Bill 3 Complaint, OFR Investigation Process, and Expands Applicability to Additional Financial InstitutionsNew Florida Bill Creates Customer Complaint and Florida Office of Financial Regulation Investigation Process for House Bill 3, and Potentially Broadens the Scope of Financial Institutions Subject to House Bill 3 Government
NY Gov Signs Amended LLC Transparency ActNew Florida Legislation Proposes Notification Requirements for Certain Financial Institutions When They Terminate, Suspend, or Take Similar Action to ‘Restrict’ Customer Account AccessCalifornia Regulator Finalizes Rule Expanding UDAAP Authority to Commercial Financing Investment Regulation
Florida Amends Securities and Investor Protection Act: Key Changes to Private Placement, Institutional Investor ExemptionsFinCEN, Federal Banking Agencies Propose Rules to Amend Financial Institutions’ AML/CFT Program RequirementsSEC Cracks Down on Marketing Rule Violations: Takeaways for Investment Advisers Mortgage
CFPB Launches Public Inquiry into Rising Mortgage Closing Costs and ‘Junk Fees’CFPB Issues Report on Unlawful ‘Junk Fees’ Uncovered in Deposit Accounts, Multiple Loan Servicing MarketsCFPB Metrics Report Shows Increased Scrutiny of Borrower Access to Servicers, Information, and Loss Mitigation Opportunities Office of the Comptroller of the Currency
US Fair Access and Anti-Debanking Laws: What to Expect Under the New AdministrationFederal Reserve, FDIC, and OCC Issue 2nd Joint Statement Highlighting Liquidity Risks to Banks Engaged in Crypto-Asset-Related ActivitiesFederal Reserve, FDIC, and OCC Issue the First Joint Statement on Crypto-Asset Risks to Banking Organizations U.S. Financial Market
SEC Seeks to Expand ‘Dealer’ or ‘Government Securities Dealer’ Definition to Require Additional Firms to Register with Agency and Comply with Federal Securities RegulationsSEC Proposes Rule Changes to Mutual Fund and Exchange Traded Fund DisclosuresInteragency Guidance for Financial Institutions on Coronavirus Disease-Related Loan Modifications