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  • John C. Coffee, Jr. – The Trump Indictment: Right Man, Wrong Crime Comment bubble 1 By John C. Coffee, Jr.
  • Compliance’s Next Challenge: Polarization By Miriam H. Baer
  • Will the Common Good Guys Come to the Shootout in SEC v. Jarkesy? And Why It Matters By Eric W. Orts
  • Climate Disclosure Line-Drawing and Securities Regulation By Virginia Harper Ho
  • Board Committee Charters and ESG Accountability By Lisa M. Fairfax
  • Asset Managers as Regulators Comment bubble 1 By Dorothy S. Lund
  • Reforming the Macroprudential Regulatory Architecture in the United States By Kathryn Judge and Anil Kashyap
  • Predicting the Unpredictable: What Will Musk Do Next? By John C. Coffee, Jr.
Editor-At-Large Reynolds Holding

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Columbia Law School's Blog on Corporations and the Capital Markets

Editorial Board John C. Coffee, Jr. Edward F. Greene Kathryn Judge

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Dan Ryan

PwC Discusses SEC’s Increased Scrutiny of Robo-Advisers

By Dan Ryan, Julien Courbe, Adam Gilbert, Mike Alix and Roberto Rodriguez November 8, 2017 by Dan Ryan

Earlier this year, the Securities and Exchange Commission (SEC) issued guidance regarding “robo-advisers,” automated investment advice tools accessed via web-based or mobile platforms with minimal human interaction.1 The guidance is an important reminder to the industry that robo-advisers are …

PwC Discusses the Fed’s New Rating System for Large Financial Institutions

By Dan Ryan, Julien Courbe, Adam Gilbert, Mike Alix and Roberto Rodriguez September 8, 2017 by Dan Ryan

On August 3, the Federal Reserve (Fed) proposed for comment a new supervisory rating system to assess the safety and soundness of Large Financial Institutions (LFIs).1 This is the first change to the Fed’s supervisory rating system since the …

PwC Discusses Fed’s New Board Expectations Guidance

By Dan Ryan, Julien Courbe, Adam Gilbert, Mike Alix and Roberto Rodriguez September 1, 2017 by Dan Ryan

On August 3, the Federal Reserve (Fed) proposed for comment supervisory guidance for boards
of directors of Fed-supervised institutions1 (i.e., Board Effectiveness (BE) guidance). The proposed BE guidance is the result of a multi-year review by the Fed of …

PwC Discusses Bank Resolution Plans’ Public Sections

By Dan Ryan, Julien Courbe, Adam Gilbert, Mike Alix and Roberto Rodriguez August 11, 2017 by Dan Ryan

The recently released public sections of the 2017 resolution plans submitted by the eight US global systemically important banks (G-SIBs)1 provide a unique window into the banks’ resolution planning efforts that have developed over the last five years. Notably, …

PwC Offers 10 Key Points From Trump’s First 100 Days

By Dan Ryan, Mike Alix, Adam Gilbert and Roberto Rodriguez May 5, 2017 by Dan Ryan

In the 100 days since his election, President Trump and members of his cabinet have continued public calls for a rollback of Dodd-Frank and related regulations enacted since the financial crisis, while offering few concrete actions or proposals. Initially, Wall …

PwC on Basel Committee’s Views of its Fundamental Review of the Trading Book

By Dan Ryan, Julien Courbe, Mike Alix, Adam Gilbert and Armen Meyer February 24, 2017 by Dan Ryan

On January 26 the Basel Committee on Banking Supervision (BCBS) released its first set of Frequently Asked Questions (FAQs) on the Fundamental Review of the Trading Book (FRTB). The BCBS published the FRTB in January 2016 with the intent to …

PwC Explores Whether Trump Will Stay the Course on Sanctions

By Dan Ryan, Sean Joyce, Jeff Lavine, Joseph Nocera, Didier Lavion and Armen Meyer February 17, 2017 by Dan Ryan

President Trump made many statements during the campaign regarding actions he plans to take to reverse Obama administration sanctions policies.[1] These included revisiting the agreement to ease sanctions on Iran, rolling back the sanctions program against Russia, and reversing …

PwC Offers 10 Key Points on SEC’s Consolidated Audit Trail Plan

By Dan Ryan, Mike Alix, Adam Gilbert and Armen Meyer December 23, 2016 by Dan Ryan

On November 15, 2016, the Securities and Exchange Commission (SEC) approved a plan to establish a Consolidated Audit Trail (CAT), which will contain a complete record of all equities and options traded in the U.S.[1] The plan will require …

PwC Discusses Election’s Impact on Advisers’ Duty to Retirement Investors

By Dan Ryan, Mike Alix, Adam Gilbert and Armen Meyer December 2, 2016 by Dan Ryan

We believe the recent election will have less impact on the Department of Labor’s (DOL) fiduciary duty rule than some in the media are currently speculating.[1] While some provisions may be modified by a new Administration, we believe the …

PwC Discusses OCC’s Scrutiny of Bank Sales Practices

By Dan Ryan, Mike Alix, Adam Gilbert and Armen Meyer November 11, 2016 by Dan Ryan

U.S. regulators, led by the Office of the Comptroller of the Currency (OCC), are starting to examine sales practices at large and mid-size banks. They will likely first focus on whether banks have opened accounts for customers without consent as …

PwC on Counterparty Credit Limits: Do You Know Where Your Exposures Are?

By Dan Ryan, Mike Alix, Adam Gilbert and Armen Meyer October 21, 2016 by Dan Ryan

Over the summer, the Federal Reserve Board (Fed) concluded the comment period on its reproposed single counterparty credit limits (SCCL) rule issued in March 2016.[1] SCCL is intended to reduce systemic risk by limiting a banking organization’s credit exposure …

PwC Discusses New York’s Proposed Cybersecurity Rules

By Dan Ryan, Sean Joyce, Joseph Nocera, Jeff Lavine and Didier Lavion September 26, 2016 by Dan Ryan

On September 13, 2016, the New York State Department of Financial Services (DFS) proposed a broad set of cybersecurity regulations for banks, insurers, and other financial institutions.[1] The proposal is largely consistent with existing guidance (e.g., under the NIST …

PwC explains New Margin Rule for Broker-Dealers in To-Be-Announced Transactions

By Dan Ryan, Mike Alix, Adam Gilbert, Grace Vogel and Armen Meyer August 29, 2016 by Dan Ryan

On August 15, the Financial Industry Regulatory Authority (FINRA) issued a regulatory notice adopting a requirement that U.S. registered broker-dealers collect margin on To-Be-Announced (TBA) transactions (FINRA Rule 4210).[1] FINRA’s action follows the Securities and Exchange Commission’s approval of …

PwC discusses the SEC’s Reporting and Public Dissemination Rule: Five Key Points

By Dan Ryan, Mike Alix, Adam Gilbert and Armen Meyer August 5, 2016 by Dan Ryan

On July 13, the Securities and Exchange Commission (SEC) adopted a final rule related to the reporting and public dissemination of security-based swap (SBS) transaction information. The rule builds on an earlier reporting rule for security-based swap dealers (SBSDs) finalized …

PwC discusses Preventing the Next $100 Million Bank Robbery

By Dan Ryan, Joseph Nocera, Didier Lavion, Sean Joyce, Jeff Lavine and Armen Meyer July 15, 2016 by Dan Ryan

Attackers last February reportedly stole $81 million from the Bangladesh Central Bank by obtaining and exploiting the bank’s credentials for the Society for Worldwide Interbank Financial Telecommunication (SWIFT) network.[1] The attack – one of the biggest bank robberies in …

PwC explains Brexit: Five Key Points

By Dan Ryan, Adam Gilbert, Mike Alix and Armen Meyer July 8, 2016 by Dan Ryan

The UK voters’ decision to exit the EU came as a surprise to many observers, as well as the markets, with the “Leave” campaign even hinting at defeat as the polls closed. The Wall Street echo chamber view that it …

PwC discusses Protecting Elderly Customers: CFPB and FINRA Step In

By Dan Ryan, Joseph Nocera, Didier Lavion, Sean Joyce, Jeff Lavine and Armen Meyer June 6, 2016 by Dan Ryan

The Consumer Financial Protection Bureau (CFPB) released recommendations in March for how banks and credit unions can better protect elderly customers from financial exploitation. The CFPB issued its recommendations as the elderly population continues to rapidly grow, positioning banks and …

PwC discusses Ten Key Points from the SEC’s Business Conduct Standards for Swap Entities

By Dan Ryan, Mike Alix, Adam Gilbert and Armen Meyer May 12, 2016 by Dan Ryan

One down, three to go: SEC rulemaking is heating up.

Last month, the Securities and Exchange Commission (SEC) finalized business conduct standards for security-based swap dealers (SBSDs).[1] The completion of this rule by the SEC is significant because few …

PwC discusses Five Key Points from Basel’s Proposed Restrictions on Internal Models for Credit Risk

By Dan Ryan, Adam Gilbert, Mike Alix and Armen Meyer April 7, 2016 by Dan Ryan

Last week, the Basel Committee on Banking Supervision (Basel) proposed floors and other constraints on the use of internal models for calculating credit risk capital. The proposal aims to reduce complexity and variation in the calculation of regulatory capital among …

PwC discusses Year-Ahead US Roadmap for Derivatives Regulation

By Dan Ryan, Adam Gilbert, Mike Alix and Armen Meyer February 22, 2016 by Dan Ryan

It has been three years since the first wave of registrants applied to be swap dealers (SDs) with the Commodity Futures Trading Commission (CFTC). Since then, SDs have focused on modifying their operations and building compliance programs that accommodate the …

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Each business day, our team sifts through blog posts, news stories, and other sources to keep up-to-date on relevant recent developments. The following links will take you to our recommended selections. To see the sources we follow click Filter Sources.

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Reuters
Disney Plans to Quiet Culture War Noise
September 20, 2023
Dealbook
$100 Oil May Scramble Inflation Fight
September 20, 2023
Sidley Enhanced Scrutiny
For Delaware LLCs, Contractual Freedom Trumps Equitable Defenses
September 20, 2023
PubCo @ Cooley
Time for EDGAR Next?
September 20, 2023
CoinDesk
Bankman-Fried Blames Everyone Else
September 19, 2023
PubCo @ Cooley
SEC Focuses on Related-Person Deals
September 19, 2023
Jim Hamilton's World
Delaware Chancery OKs Dual-Class Stock Empowering Certain Shareholders
September 19, 2023
Delaware Corporate & Commercial Litigation Blog
Delaware Supremes Clarifies Limits of Equitable Review of LLC Agreements
September 19, 2023
Deal Lawyers.com
Delaware Dings Another Non-Compete
September 19, 2023
Reuters
U.S. Argues Google Wants Too Much Kept Secret in Antitrust Trial
September 18, 2023
Dealbook
Unions Keep Up Hardball Tactics
September 18, 2023
Wall Street Journal
Index Funds Approaching Zero Cost
September 18, 2023
PubCo @ Cooley
California Governor Confirms Will Sign Major Climate Bills
September 18, 2023
Deal Lawyers.com
Delaware Chancery Upholds Disparate Voting Rights for Same Class of Stock
September 18, 2023
Reuters
UAW Says Ford Talks “Productive”
September 17, 2023
New York Post
Apple Climate Change Film Slammed
September 17, 2023
Bloomberg
SEC Panel Urges Worker Diversity Rule
September 17, 2023
Jim Hamilton's World
SEC Proposes EDGAR Enhancements
September 17, 2023
Business Law Prof Blog
The Starbucks Case: To Whom Are Caremark Duties Owed?
September 17, 2023
Reuters
Court OKs FTX Crypto Asset Sales
September 14, 2023
D&O Diary
Regional Bank Jitters Sparking Suits
September 14, 2023
PubCo @ Cooley
Big California Climate Bills Passed
September 14, 2023
Jim Hamilton's World
Senate Panel Pondering AI Regulation
September 14, 2023
The Capital Commitment
Suit Tests Private Fund Adviser Rules
September 14, 2023
New York Post
Citi CEO Sets Sweeping Changes, Cuts
September 13, 2023
CNBC
“Cryptoqueen” Partner Gets 20 Years
September 13, 2023
New York Times
GOP Grills Gensler on Rulemaking Pace
September 13, 2023
Bloomberg
Kroll Says ESG Makes Money
September 13, 2023
PubCo @ Cooley
U.S. Court Says Starbucks’ DEI Initiative OK Under Business Judgment Rule
September 13, 2023
Wall Street Journal
Apple Unveils New iPhone Models
September 12, 2023
New York Times
BP Chief Resigns Over Relationships
September 12, 2023
Bloomberg
What’s Next for SBF’s Crypto Exchange
September 12, 2023
Reuters
CFTC Official Calls for Fraud Database
September 12, 2023
Jim Hamilton's World
Failure to Disclose Under Item 303 Can Trigger 10(b) Fraud Liability
September 12, 2023
Reuters
J.M. Smucker to Buy Twinkies Maker
September 11, 2023
Wall Street Journal
The Bitcoin ETF Trade Is Increasingly About the Value of Bitcoin Itself
September 11, 2023
Bloomberg
Wells Fargo Fake Account Accord OK’d
September 11, 2023
PubCo @ Cooley
SEC Dings Fluor for Accounting Flaws
September 11, 2023
California Corporate & Securities Law
Temporary Covid Closure Didn’t Breach Deal Covenant to Maintain Operations
September 11, 2023
Reuters
Detroit Autoworkers Ready to Strike
September 10, 2023
Bloomberg
Failed Crypto Boss Gets 11,000 Years
September 10, 2023
Financial News
KPMG Escalates Poaching Wars
September 10, 2023
Deal Lawyers.com
Delaware Chancery Denies Specific Performance in DeSPAC Merger Fight
September 10, 2023
Business Law Prof Blog
Can AI Detect Puffery?
September 10, 2023
Bloomberg
Crypto Crackdown Hurt San Francisco
September 7, 2023
New York Magazine
Michael Lewis Hearts Bankman-Fried
September 7, 2023
PubCo @ Cooley
SEC Springing Penalties Now a Thing
September 7, 2023
Jim Hamilton's World
SEC Tells Exchanges, FINRA to File Plan for National Marketing System
September 7, 2023
Hollywood Reporter
Failed FTC, DOJ Attacks on Deals May Prompt Wave of Vertical Mergers
September 7, 2023
D&O Diary
Shareholders Sue Robotic Aircraft Company in Yet Another Covid Suit
September 6, 2023
CNBC
Only Six Bitcoin Billionaires in World
September 6, 2023
Financial Times
Commissioner Hester Peirce Is Republican Thorn in SEC’s Side
September 6, 2023
Reuters
Grayscale Urges SEC to Approve Spot Bitcoin ETF
September 6, 2023
PubCo @ Cooley
Nasdaq Proposes Rule Changes for Waivers of Code of Conduct
September 6, 2023
New York Times
Lawyers Win Big in Crypto Collapse
September 5, 2023
Financial Times
Law Firms Are Diversity Battleground
September 5, 2023
Bloomberg
Alan Stanford Again Denied Release
September 5, 2023
PubCo @ Cooley
Clock Ticks on SEC’s Gensler Agenda
September 5, 2023
Jim Hamilton's World
DC Circuit Says SEC Should Have Approved Grayscale Application
September 5, 2023
Bloomberg
NFT Hype Fades in Crypto Market
September 4, 2023
Reuters
SBF to Pursue Blame Lawyers Defense
September 4, 2023
Bloomberg
Assets Flee South from California, NY
September 4, 2023
CoinDesk
Binance’s Head of Product Departs
September 4, 2023
Jim Hamilton's World
SG Files Brief in SEC’s ALJ Case
September 4, 2023
Reuters
U.S. Offers $12 Bln to Automakers, Suppliers for Advanced Vehicles
August 31, 2023
D&O Diary
Lawyers the Winners With New SEC Hedge Fund and PE Disclosure Rules
August 31, 2023
Wall Street Journal
DOJ, SEC Investigate Tesla Over Secret Glass House Project
August 31, 2023
Wall Street Journal
SEC Whiffs on Crypto With Grayscale
August 31, 2023
PubCo @ Cooley
SEC Issues New CDIs on Stock Buybacks and Foreign Private Issuers
August 31, 2023
Sidley Enhanced Scrutiny
Delaware Chancery Weighs In on Damages for Fraud in M&A Transactions
August 30, 2023
Reuters
Visa, Mastercard to Hike Card Fees
August 30, 2023
Wall Street Journal
Goldman Fined Over Traders’ Call Flaws
August 30, 2023
Bloomberg
SEC Defends In-House Judges to Scotus
August 30, 2023
Jim Hamilton's World
Nvidia Must Face Suit on Crypto Fraud
August 30, 2023
Reuters
Grayscale Wins on Spot Bitcoin ETF
August 29, 2023
Bloomberg
Gensler SEC Lags on Rulemaking
August 29, 2023
PubCo @ Cooley
Beware Saying Lawsuit “Without Merit”
August 29, 2023
Jim Hamilton's World
CFTC Commissioner Urges Review of Financial Firms’ Climate Risks
August 29, 2023
Corporate & Securities Law Blog
In Deal Price Disputes, Difference Between Expert and Arbitrator Matters
August 29, 2023
D&O Diary
Securities Suit Hits Utility on Maui Fires
August 28, 2023
Reuters
Crypto Tax Reporting Rules Unveiled
August 28, 2023
Bloomberg
Tesla Investors to Get $12,000 Each from Musk’s Deal on Errant Tweet
August 28, 2023
PubCo @ Cooley
SEC Tweaks Tips on Rule 10b5-1 Plans
August 28, 2023
Deal Lawyers.com
Private Fund Adviser Rules Roil SEC
August 28, 2023
New York Times
Is Crypto Dead, or Is That Just “FUD”?
August 27, 2023
Securities and Exchange Commission
Wells Fargo Settles Advisory Fee Case
August 27, 2023
Securities and Exchange Commission
SEC Whistleblower Gets Over $18 Mln
August 27, 2023
PubCo @ Cooley
SEC Increases Fee Rates for 2024
August 27, 2023
Jim Hamilton's World
SEC Reopens Comments on Boosting Adviser Protection of Crypto Assets
August 27, 2023
New York Post
Con Man Says Fyre Festival II Sold Out
August 24, 2023
Wall Street Journal
Crypto Trading Firm’s Alleged Founders Charged With Money Laundering
August 24, 2023
Bloomberg
Target Case Charts Path for “Go Woke, Go Broke” Securities Suits
August 24, 2023
CoinDesk
FTX Bankruptcy Legal Fees Soaring
August 24, 2023
PubCo @ Cooley
SEC Gets Tough on Form 12b-25 Flubs
August 24, 2023
SEC Tightens Broker-Dealer Exemption from FINRA Membership
August 24, 2023
D&O Diary
ESG Adopts Mandatory ESG Reporting
August 23, 2023
Wall Street Journal
OpenSea Employee Gets Three Months in First NFT Insider-Trading Case
August 23, 2023
Bloomberg
Ex-JPMorgan Trader Gets Two Years
August 23, 2023
Semafor
SEC Could Deal VCs Major Blow
August 23, 2023
Promarket
Merger Guidelines Send Global Signal
August 23, 2023
Reuters
Subway Nears $6.9 Bln Sale to Arby’s
August 22, 2023
Wall Street Journal
Judge Backs U.S. Sanctions on Crypto Platform Tornado Cash
August 22, 2023
Bloomberg
Broker Sues FINRA as a Monopoly
August 22, 2023
Jim Hamilton's World
U.S. Chamber Dings Cybersecurity Rules
August 22, 2023
Deal Lawyers.com
Reports of Blasius’ Death Exaggerated
August 22, 2023

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