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Latest posts
Last updated 14 days ago
Congress Abolishes Certain Exemptions for Foreign Private Issuers; Will Now Require Compliance with Section 16(a) Beneficial Ownership Reporting For Directors and Officers
14 days ago
On Dec. 18, 2025, President Donald Trump signed the National Defense Authorization...
Providing Useful Tools: FINRA Releases its 2026 Annual Regulatory Oversight Report, Together with a FINRA Unscripted Podcast Filled with Senior Leadership Insights
19 days ago
On December 9, 2025, the Financial Industry Regulatory Authority (FINRA) released both...
Do Non-Bank Financial Institutions Pose a Systemic Risk?
27 days ago
This is the fourth in our series of GT Alerts reporting on...
SEC Division of Examinations 2026 Priorities
about 1 month ago
The Securities and Exchange Commission (SEC)’s Division of Examinations (Division) announced its...
NJ Assembly Bill 5894: Earned Income Access Service Provider Licensing Requirements and Regulatory Framework
about 1 month ago
New Jersey is on the cusp of a regulatory reset for “on-demand”...
Non-Bank Lending in the Spotlight – Does the System of Calculating Regulatory Capital Require Revisiting?
about 1 month ago
In October’s GT Alert on non-bank lending, we focussed on whether there...
Path Cleared for Registered Representative-Owned PSEs To Receive Transaction-Based Compensation
about 1 month ago
On Nov. 17, 2025, the U.S. Securities and Exchange Commission (SEC) issued...
NYDFS Final Cybersecurity Rules – MFA, Asset Inventory, and Third-Party Risk
about 2 months ago
The last remaining provisions of the amendments to the New York Department...
CFPB Withdraws ‘Fine Print’ Rule
2 months ago
On Oct. 29, 2025, the Consumer Financial Protection Bureau (CFPB) withdrew its...
Non-Bank Lending in the Spotlight: Regulatory Capital and Its Impact
2 months ago
In the GT Alert we produced in September, we commented on the...
Amended New York Transparency Act Broadens Entity Reporting Obligations Beyond Federal Standards
3 months ago
In the last week of the New York State legislative session, the...
Florida Office of Financial Regulation Seeks to Amend and Expand Scope of De-Banking Rules
3 months ago
On Sept. 30, 2025, the OFR requested approval from the Florida Financial...