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The SEC Enforcement Division’s 2020 Annual Report focuses on COVID-related investigations while reporting fewer case filings, slightly more monetary relief ordered, and a record-breakin...
Last week the Board of Governors of the Federal Reserve System (the Federal Reserve) announced changes to the terms of the Main Street Lending Program (the Program) aimed at boosting smal...
For much of 2020, estate planning clients have been focused on continuing to take advantage of the historically high federal estate, gift and generation-skipping transfer tax exemption am...
Rules and Regulations
SEC Adopts Updated Regulatory Framework for Fund of Funds Arrangements
SEC Adopts Modernized Regulatory Framework for Derivatives Use by Registered Funds and Bus...
Rules and Regulations
SEC Proposes to Exempt Certain “Finders” from Broker-Dealer Registration Requirements
Industry Update
Dalia Blass Keynote Address at the Investment Company I...
The Financial Crimes Enforcement Network (FinCEN) and the Federal Reserve Board (together the Agencies) last week proposed amendments (the Proposed Rules) to the Travel Rule regulations a...
The Office of the Comptroller of the Currency (OCC) has finalized a rule (Final Rule) establishing a bright-line test for determining the true lender of a loan. The Final Rule is intende...
The banking sector is both regulated and supervised, a key difference between banking and the rest of the regulated sectors in the economy. Supervision happens behind the veil of confide...
On October 17, 2020, the National People’s Congress Standing Committee adopted the Export Control Law of the People’s Republic of China (the “PRCECL”) within a year after the firs...
The Federal Deposit Insurance Corporation (FDIC) has taken another important step to increase transparency and accountability in the supervisory process by proposing amendments to its exi...