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  • John C. Coffee, Jr. – Mass Torts and Corporate Strategies: What Will the Courts Allow? 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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Mike Alix

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 Mike Alix

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 Mike Alix

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 Mike Alix

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 Mike Alix

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 Mike Alix

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 Mike Alix

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 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 Mike Alix

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 Mike Alix

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 Mike Alix

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 Mike Alix

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 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 Mike Alix

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 Mike Alix

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 explains Brexit: Five Key Points

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

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 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 Mike Alix

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 Mike Alix

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 Mike Alix

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 …

PwC discusses Ten Key Points from Basel’s Fundamental Review of the Trading Book

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

On January 14th, the Basel Committee on Banking Supervision (BCBS) published its revised capital requirements for market risk. The final standard, also known as the Fundamental Review of the Trading Book (FRTB), is intended to harmonize the treatment …

PwC discusses Key Points from Basel’s Re-proposed Standardized Approach for Credit Risk

By Dan Ryan, Adam Gilbert, Mike Alix and Armen Meyer December 28, 2015 by Mike Alix

The Basel Committee on Banking Supervision (BCBS) on December 10th issued the second iteration of its proposed revisions to the standardized approach (SA) for credit risk measurement. Following up on last year’s initial issuance, the proposed revisions are intended …

PwC discusses Bank Culture: It’s About More Than Bad Apples

By Dan Ryan, Adam Gilbert, Armen Meyer, Mike Alix and Bhushan Sethi December 10, 2015 by Mike Alix

The US Federal Reserve (Fed) again expressed concerns about the culture at financial institutions this month.[1] This has been a recurring theme since the financial crisis, as regulators in the US and abroad have hit industry players with steep …

1 Comment  

PwC highlights Ten Key Points from the Fed’s TLAC Proposal

By Dan Ryan, Mike Alix, Adam Gilbert and Armen Meyer November 16, 2015 by Mike Alix

The Fed proposed its long-awaited Total Loss-Absorbing Capacity (TLAC) requirements on October 30th. As expected, the Fed’s proposal came out tougher than the Financial Stability Board’s (FSB) TLAC standard proposed last year,[1] including limitations on capital distributions and bonus …

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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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Bloomberg
SoFi Technologies Exiting Crypto
November 30, 2023
D&O Diary
Should Short-Seller Reports Give Weight to Securities Class Actions?
November 30, 2023
Yahoo Finance
Scotus Seems Down on SEC Courts
November 30, 2023
PubCo @ Cooley
Big Comp Committee Issues Next Year
November 30, 2023
Deal Lawyers.com
Second Circuit Narrows Safe Harbor from Fraudulent Transfer in LBO
November 30, 2023
Reuters
Disney CEO Iger Promises 2026 Exit
November 29, 2023
Wall Street Journal
Scotus Mulls Right to Trial by Jury
November 29, 2023
Bloomberg
Might the SEC Lose Its Courts?
November 29, 2023
Jim Hamilton's World
SEC Adopts New Rule on Asset-Backed Securities Conflicts of Interest
November 29, 2023
Deal Lawyers.com
U.S. Court Says Info About Alternative Deal Structure Immaterial for Disclosure
November 29, 2023
New York Times
Amazon Unveils Q, AI Chatbot for Firms
November 28, 2023
D&O Diary
SPAC-Linked Securities Suit Hits EV Firm
November 28, 2023
Reuters
New California Law Requires VC, Private Equity Firms to Report Diversity
November 28, 2023
Bloomberg
MLB, Formula 1 Face Fraud Suits for Promoting FTX Cryptocurrency
November 28, 2023
PubCo @ Cooley
U.S. Court Seems Open to Seeing “Shadow Trading” as Insider Trading
November 28, 2023
Reuters
SEC Adopts Trader Conflicts Rule
November 27, 2023
Bloomberg
Deregulation Talk Scaring Crypto World
November 27, 2023
PubCo @ Cooley
Fifth Circuit Denies SEC More Time to Fix Share Repurchase Rule
November 27, 2023
LinkedIn
Travis Laster Answers Ex-AG Barr’s Criticism of Delaware ESG Flirtation
November 27, 2023
Delaware Corporate & Commercial Litigation Blog
Delaware Chancery Talks Fee Shifting
November 27, 2023
Wall Street Journal
Binance Penalties Include Crypto Firsts
November 26, 2023
PubCo @ Cooley
SEC Delays Share Repurchase Rule
November 26, 2023
Securities Regulation and Corporate Governance Monitor
Update on SEC’s Universal Proxy Rules
November 26, 2023
Delaware Corporate & Commercial Litigation Blog
Delaware Chancery Clarifies Third-Party Shareholder Beneficiary Rights
November 26, 2023
Business Law Prof Blog
Do ESG Laws Violate Free Speech?
November 26, 2023
Investment Executive
Lagarde Calls for European SEC
November 21, 2023
Securities and Exchange Commission
SEC Dings Kraken for Being Unregistered
November 21, 2023
Reuters
SEC May Curb Climate Rule Ambitions
November 21, 2023
Bloomberg
DOJ Seeks over $4 Bln from Binance
November 21, 2023
Jim Hamilton's World
SEC Rule Aims at Clearinghouse Conflicts
November 21, 2023
Reuters
OpenAI Investors Consider Suing Board
November 20, 2023
Dealbook
Cybersecurity Suit a Hot Board Topic
November 20, 2023
Wall Street Journal
Wall Street’s ESG Craze Is Fading
November 20, 2023
PubCo @ Cooley
SEC Issues New CDIs on Proxy Rules
November 20, 2023
Jim Hamilton's World
CFTC Mulls Offering Guidance on Crypto and Carbon Markets
November 20, 2023
D&O Diary
Hackers Gripe to SEC About Hack
November 19, 2023
New York Times
Bitcoin Fund Lifts Cryptocurrency Price
November 19, 2023
Washington Post
Feds Mount SEC Cyber-Rule Defense
November 19, 2023
Reuters
Doubt Over SEC Administrative Enforcement Boosts Private Actions
November 19, 2023
Corporate & Securities Law Blog
Ninth Circuit Clarifies SEC Rule 16b-3 Short-Swing Profit Liability Exemption
November 19, 2023
Reuters
IBM Suspends Advertising on X
November 16, 2023
New York Times
UAW Workers Back Big 3 Contracts
November 16, 2023
NY’s New Cryptocurrency Listing Rules
November 16, 2023
Bloomberg
WeWork’s Rescue Wasn’t Real
November 16, 2023
Bloomberg
Hedge Fund Fraudster Spared Prison
November 16, 2023
Wall Street Journal
Elusive Soft Landing Comes Into View
November 15, 2023
New York Times
The Inflation Rally Goes Global
November 15, 2023
Bloomberg
Short Sellers Become SEC Tipsters
November 15, 2023
Reuters
Blockchain Firm Dfinity Loses Defamation Suit Against Times, Crypto Analyst
November 15, 2023
PubCo @ Cooley
SEC Charges Charter on 10b5-1 Plans
November 15, 2023
Reuters
U.S. House Finally Passes Spending Bill
November 14, 2023
D&O Diary
IPO Revival May Take Awhile
November 14, 2023
Financial Review
Investors Using AI to Find Out What Executives Really Thinking
November 14, 2023
Washington Post
Bitcoin Wallets Created Before 2016 at Risk of Being Hacked
November 14, 2023
PubCo @ Cooley
PCAOB Offers Questions that Audit Committee Members Might Want to Ask
November 14, 2023
Reuters
U.S. Supreme Court Unveils Ethics Code
November 13, 2023
Wall Street Journal
SBF’s Parents Are Still His Biggest Fans
November 13, 2023
Bloomberg
Fake Goldman Insider Gets 16 Years for Alibaba IPO Share Scam
November 13, 2023
Washington Post
Regulating Crypto to Death Is OK
November 13, 2023
Jim Hamilton's World
U.S. House Bill Would Halt Funding of SEC Crypto Enforcement Actions
November 13, 2023
Dealbook
What’s a Fair Sentence for SBF?
November 12, 2023
D&O Diary
Geopolitical Risk Sparks Securities Suit
November 12, 2023
Reuters
Allen & Overy Hit by “Data Incident”
November 12, 2023
Bloomberg
Biggest Bank Forced to Reroute Trades
November 12, 2023
Jim Hamilton's World
SEC Urged to Amend Definition of “Smaller Reporting Company”
November 12, 2023
Financial Times
SEC Plan to Police AI Investment Advice Provokes Fierce Pushback
November 9, 2023
Reuters
Target Seeks End to Pride-Month Suit
November 9, 2023
D&O Diary
FTX Fights over D&O Coverage
November 9, 2023
PubCo @ Cooley
SEC Commissioner Talks on Rulemaking
November 9, 2023
Jim Hamilton's World
SEC Defends Binance Crypto Action
November 9, 2023
Reuters
Ivanka Worried Trump Not Rich Enough
November 8, 2023
Slate
Is SBF’s Brother in Trouble, Too?
November 8, 2023
Wall Street Journal
Treasury Seeks Crypto Crack Down Powers
November 8, 2023
Bloomberg
Investors Set Sights on FTX Endorsers
November 8, 2023
The 10b-5 Daily
The Latest on Class-Action Opt Outs
November 8, 2023
PubCo @ Cooley
Will Major Questions Doctrine Kill SEC’s Shadow Trading Theory?
November 7, 2023
Jim Hamilton's World
Report: Gender Diversity Helps Finances
November 7, 2023
Securities Regulation and Corporate Governance Monitor
SEC Launches Portal for Shareholder Proposal No-Action Requests
November 7, 2023
Reuters
DOJ Disclosure Safe-Harbor Draws Fire
November 7, 2023
Corporate & Securities Law Blog
California Boosts Non-Competition Law
November 7, 2023
New York Times
SBF Convicted, Silicon Valley Shrugs
November 5, 2023
Bloomberg
What’s Next for SBF Inner Circle?
November 5, 2023
Jim Hamilton's World
CFTC Sued Over Congress Control Bets
November 5, 2023
Deal Lawyers.com
Delaware Chancery Addresses Enforceability of M&A “Con Ed” Clause
November 5, 2023
Corporate & Securities Law Blog
Second Circuit Clips SEC Disgorgement
November 5, 2023
Axios
New Hedge Fund Hiring Journalists to Not Do Journalism
November 2, 2023
PubCo @ Cooley
Fifth Circuit Slaps SEC Buyback Rule
November 2, 2023
Jim Hamilton's World
Senator Seeks to Undo Citizens United
November 2, 2023
Axios
PE Funds Putting More Cash in Deals
November 2, 2023
Business Law Prof Blog
U.S. Labor Department Issues New Fiduciary Rule Proposal
November 2, 2023

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