Rules and Regulations SEC Rejects Proposed Rule Change for Bitcoin ETF Industry Update Commissioner Hester M. Peirce Reacts to SEC Regulation of Investment Professionals SEC Launches N...

Rules and Regulations SEC Rejects Proposed Rule Change for Bitcoin ETF Industry Update Commissioner Hester M. Peirce Reacts to SEC Regulation of Investment Professionals Litigation S...

The CFTC unanimously approved Final Rule amendments on August 21, 2018 to the regulations governing chief compliance officer (“CCO”) duties and annual compliance reporting requirement...

Vanguard’s Investment Stewardship Report for the year ended June 2018 reinforces its commitment to the four pillars: board composition, executive compensation, risk and oversight, and g...

Another circuit court has opined on the Federal Housing Finance Agency (FHFA) and the legality of its net worth sweep.  Late last week, the United States Court of Appeals for the Eighth C...

On August 21, 2018, the IRS issued Notice 2018-68, which provides initial guidance on two aspects of the amendments to Section 162(m) of the Internal Revenue Code made by the Tax Cuts and...

On August 21, 2018, the United States Environmental Protection Agency (“EPA”) proposed the Affordable Clean Energy Rule (the “ACE Rule”) which would replace its 2015 Clean Power P...

The three Federal banking agencies jointly released an interim final rule on August 22, 2018 that amends the agencies’ respective liquidity coverage ratio (LCR) rules to treat as level ...

In July, State Street released its 2017 global stewardship report.  North America makes up 30% of its proxy voting but 67% of its engagements.  All voting and engagement activities are ce...

The SEC recently adopted amendments to Regulation ATS and related rules under the Exchange Act to enhance operational transparency and regulatory oversight of alternative trading systems ...