pr-930-fkd-drupal8.pantheonsite.io
Open in
urlscan Pro
2620:12a:8001::1
Public Scan
URL:
https://pr-930-fkd-drupal8.pantheonsite.io/news
Submission: On February 29 via manual from CA — Scanned from CA
Submission: On February 29 via manual from CA — Scanned from CA
Form analysis
8 forms found in the DOM<form>
<fieldset>
<legend class="visuallyhidden">Consent Selection</legend>
<div id="CybotCookiebotDialogBodyFieldsetInnerContainer">
<div class="CybotCookiebotDialogBodyLevelButtonWrapper"><label class="CybotCookiebotDialogBodyLevelButtonLabel" for="CybotCookiebotDialogBodyLevelButtonNecessary"><strong
class="CybotCookiebotDialogBodyLevelButtonDescription">Necessary</strong></label>
<div class="CybotCookiebotDialogBodyLevelButtonSliderWrapper CybotCookiebotDialogBodyLevelButtonSliderWrapperDisabled"><input type="checkbox" id="CybotCookiebotDialogBodyLevelButtonNecessary"
class="CybotCookiebotDialogBodyLevelButton CybotCookiebotDialogBodyLevelButtonDisabled" disabled="disabled" checked="checked"> <span class="CybotCookiebotDialogBodyLevelButtonSlider"></span></div>
</div>
<div class="CybotCookiebotDialogBodyLevelButtonWrapper"><label class="CybotCookiebotDialogBodyLevelButtonLabel" for="CybotCookiebotDialogBodyLevelButtonPreferences"><strong
class="CybotCookiebotDialogBodyLevelButtonDescription">Functional</strong></label>
<div class="CybotCookiebotDialogBodyLevelButtonSliderWrapper"><input type="checkbox" id="CybotCookiebotDialogBodyLevelButtonPreferences" class="CybotCookiebotDialogBodyLevelButton CybotCookiebotDialogBodyLevelConsentCheckbox"
data-target="CybotCookiebotDialogBodyLevelButtonPreferencesInline" checked="checked" tabindex="0"> <span class="CybotCookiebotDialogBodyLevelButtonSlider"></span></div>
</div>
<div class="CybotCookiebotDialogBodyLevelButtonWrapper"><label class="CybotCookiebotDialogBodyLevelButtonLabel" for="CybotCookiebotDialogBodyLevelButtonStatistics"><strong
class="CybotCookiebotDialogBodyLevelButtonDescription">Analytics</strong></label>
<div class="CybotCookiebotDialogBodyLevelButtonSliderWrapper"><input type="checkbox" id="CybotCookiebotDialogBodyLevelButtonStatistics" class="CybotCookiebotDialogBodyLevelButton CybotCookiebotDialogBodyLevelConsentCheckbox"
data-target="CybotCookiebotDialogBodyLevelButtonStatisticsInline" checked="checked" tabindex="0"> <span class="CybotCookiebotDialogBodyLevelButtonSlider"></span></div>
</div>
<div class="CybotCookiebotDialogBodyLevelButtonWrapper"><label class="CybotCookiebotDialogBodyLevelButtonLabel" for="CybotCookiebotDialogBodyLevelButtonMarketing"><strong
class="CybotCookiebotDialogBodyLevelButtonDescription">Marketing</strong></label>
<div class="CybotCookiebotDialogBodyLevelButtonSliderWrapper"><input type="checkbox" id="CybotCookiebotDialogBodyLevelButtonMarketing" class="CybotCookiebotDialogBodyLevelButton CybotCookiebotDialogBodyLevelConsentCheckbox"
data-target="CybotCookiebotDialogBodyLevelButtonMarketingInline" checked="checked" tabindex="0"> <span class="CybotCookiebotDialogBodyLevelButtonSlider"></span></div>
</div>
</div>
</fieldset>
</form>
<form><input type="checkbox" id="CybotCookiebotDialogBodyLevelButtonNecessaryInline" class="CybotCookiebotDialogBodyLevelButton CybotCookiebotDialogBodyLevelButtonDisabled" disabled="disabled" checked="checked"> <span
class="CybotCookiebotDialogBodyLevelButtonSlider"></span></form>
<form><input type="checkbox" id="CybotCookiebotDialogBodyLevelButtonPreferencesInline" class="CybotCookiebotDialogBodyLevelButton CybotCookiebotDialogBodyLevelConsentCheckbox" data-target="CybotCookiebotDialogBodyLevelButtonPreferences"
checked="checked" tabindex="0"> <span class="CybotCookiebotDialogBodyLevelButtonSlider"></span></form>
<form><input type="checkbox" id="CybotCookiebotDialogBodyLevelButtonStatisticsInline" class="CybotCookiebotDialogBodyLevelButton CybotCookiebotDialogBodyLevelConsentCheckbox" data-target="CybotCookiebotDialogBodyLevelButtonStatistics"
checked="checked" tabindex="0"> <span class="CybotCookiebotDialogBodyLevelButtonSlider"></span></form>
<form><input type="checkbox" id="CybotCookiebotDialogBodyLevelButtonMarketingInline" class="CybotCookiebotDialogBodyLevelButton CybotCookiebotDialogBodyLevelConsentCheckbox" data-target="CybotCookiebotDialogBodyLevelButtonMarketing" checked="checked"
tabindex="0"> <span class="CybotCookiebotDialogBodyLevelButtonSlider"></span></form>
<form class="CybotCookiebotDialogBodyLevelButtonSliderWrapper"><input type="checkbox" id="CybotCookiebotDialogBodyContentCheckboxPersonalInformation" class="CybotCookiebotDialogBodyLevelButton"> <span
class="CybotCookiebotDialogBodyLevelButtonSlider"></span></form>
GET /news?sort=created&order=desc
<form class="simple-search-form form-inline w-100" data-drupal-selector="simple-search-form" action="/news?sort=created&order=desc" method="get" id="simple-search-form" accept-charset="UTF-8">
<fieldset class="js-form-item js-form-type-search form-type-search js-form-item-terms form-item-terms form-no-label input-group flex-fill">
<label for="edit-terms--3" class="sr-only">Search</label>
<input placeholder="Enter Keyword" class="form-search form-control" data-drupal-selector="edit-terms" type="search" id="edit-terms--3" name="terms" value="" size="60" maxlength="128">
</fieldset>
<div class="form-actions js-form-wrapper form-group" data-drupal-selector="edit-actions" id="edit-actions--3"><button data-drupal-selector="edit-submit" type="submit" id="edit-submit" value="Search"
class="button js-form-submit form-submit btn btn-primary">Search</button>
</div>
<input data-drupal-selector="edit-sort" type="hidden" name="sort" value="created" class="form-control">
<input data-drupal-selector="edit-order" type="hidden" name="order" value="desc" class="form-control">
</form>
POST /news
<form action="/news" method="post" id="webform-submission-sign-up-for-free-news-page-variant-search-news-layout-builder-0-add-form" accept-charset="UTF-8">
<fieldset id="edit-markup" class="js-form-item js-form-type-webform-markup form-type-webform-markup js-form-item-markup form-item-markup form-no-label form-group">
<h2>Daily News & Insights</h2>
<p>We provide free news and commentary to 20,000 industry professionals, regulators, academics, and journalists.</p>
</fieldset>
<fieldset class="js-form-item js-form-type-email form-type-email js-form-item-email form-item-email form-no-label form-group">
<input data-drupal-selector="edit-email" type="email" id="edit-email" name="email" value="" size="60" maxlength="254" placeholder="Your Email Address" class="form-email required form-control" required="required" aria-required="true">
</fieldset>
<div data-drupal-selector="edit-actions" class="form-actions webform-actions js-form-wrapper form-group" id="edit-actions--3"><button class="webform-button--submit button button--primary js-form-submit form-submit btn btn-primary"
data-drupal-selector="edit-actions-submit" type="submit" id="edit-actions-submit" name="op" value="GET THE NEWSLETTER">GET THE NEWSLETTER</button>
<a href="/" class="button cancel" data-drupal-selector="edit-cancel" id="edit-cancel">Cancel</a>
</div>
<div class="js-form-item js-form-type-checkbox checkbox form-check js-form-item-consent form-item-consent form-no-label">
<input data-drupal-selector="edit-consent" aria-describedby="edit-consent--description" type="checkbox" id="edit-consent" name="consent" value="1" class="form-checkbox required form-check-input" required="required" aria-required="true">
<label class="form-check-label" for="edit-consent">
<span id="edit-consent--description" class="webform-element-description">I have read, understand, and agree to the <a href="/content/terms-use-attorney-advertising">TERMS OF USE</a>, <a href="/content/privacy-policy">PRIVACY POLICY</a> and
<a href="/content/cookie-and-usage-policy">COOKIE AND USAGE POLICY</a></span>
</label>
</div>
<input autocomplete="off" data-drupal-selector="form-bqmwexjkpfnczmtrfq-ccxjmgvw0v4aadx5zfzqolhy" type="hidden" name="form_build_id" value="form-bQMwEXJKpFNCZMTrFq_CcxjmgvW0V4AADX5ZfZqOLHY" class="form-control">
<input data-drupal-selector="edit-webform-submission-sign-up-for-free-news-page-variant-search-news-layout-builder-0-add-form" type="hidden" name="form_id"
value="webform_submission_sign_up_for_free_news_page_variant_search_news-layout_builder-0_add_form" class="form-control">
</form>
Text Content
TEST Powered by Cookiebot * Consent * Details * [#IABV2SETTINGS#] * About USE OF COOKIES BY US REGULATORY INTELLIGENCE We use cookies and other similar technology to deliver our online services. Necessary cookies are used to enable you to access and navigate our site. These are essential and are always on. We also use functional, analytics, and marketing cookies where we have your consent to do so. Consent Selection Necessary Functional Analytics Marketing Manage cookies * Necessary 2 These cookies are essential in order to enable you to access, move around our website and use its features. Without these cookies, services that are key to your experience (such as navigating between pages) cannot be provided and as such these cookies are always kept on. * Vimeo 1 Learn more about this provider __cf_bmThis cookie is used to distinguish between humans and bots. This is beneficial for the website, in order to make valid reports on the use of their website. Expiry: 1 dayType: HTTP * www.findknowdo.com 1 CookieConsentStores the user's cookie consent state for the current domain Expiry: 1 yearType: HTTP * Functional 0 We make use of cookies to provide you with certain features. For example, to remember choices you make (such as your user name or the region you are in), or to recognise the platform from which you access the site, and to provide enhanced and more personal features. These cookies are not used to track your browsing on other sites. We do not use cookies of this type. * Analytics 0 We make use of analytics cookies to analyse how our visitors use our websites and to monitor website performance. This allows us to provide a high quality experience by customising our offering. For example, we might use analytics cookies to keep track of which pages are most popular, which method of linking between pages is most effective, and to determine why some pages are receiving error messages. The information collected by these cookies is not associated with your personal data by us or by our contractors. We do not use cookies of this type. * Marketing 0 Marketing cookies record information about your visit to our website to help target advertising and content specific to you. For example, the pages you have visited, the links you have followed, the number of times you have seen an ad, the ads you have clicked on and your browsing habits and interests. They are also used by services provided by third parties, such as Like or Share buttons We do not use cookies of this type. * Unclassified 0 Unclassified cookies are cookies that we are in the process of classifying, together with the providers of individual cookies. We do not use cookies of this type. Cross-domain consent[#BULK_CONSENT_DOMAINS_COUNT#] [#BULK_CONSENT_TITLE#] List of domains your consent applies to: [#BULK_CONSENT_DOMAINS#] Cookie declaration last updated on 2024-02-26 by Cookiebot [#IABV2_TITLE#] [#IABV2_BODY_INTRO#] [#IABV2_BODY_LEGITIMATE_INTEREST_INTRO#] [#IABV2_BODY_PREFERENCE_INTRO#] [#IABV2_LABEL_PURPOSES#] [#IABV2_BODY_PURPOSES_INTRO#] [#IABV2_BODY_PURPOSES#] [#IABV2_LABEL_FEATURES#] [#IABV2_BODY_FEATURES_INTRO#] [#IABV2_BODY_FEATURES#] [#IABV2_LABEL_PARTNERS#] [#IABV2_BODY_PARTNERS_INTRO#] [#IABV2_BODY_PARTNERS#] WHAT ARE COOKIES? Cookies are text files containing small amounts of information which are downloaded to your device (e.g. computer, mobile phone etc) when you visit a website. Cookies are then sent back to the originating web domain on your subsequent visits to that domain. Most web pages contain elements from multiple web domains so when you visit http://nortonrosefulbright.com your browser may receive cookies from several sources. Cookies are useful because they allow a website to recognise a user’s device. They allow you to navigate between web pages efficiently, remember preferences and analyse how you use websites and online services. They can also be used to tailor advertising to your interests through tracking your browsing across websites. WHY DO WE USE COOKIES? We use cookies for various purposes, such as to: * analyse trends; * administer services; * remember your preferences; * track users’ movements around our website; * gather demographic information about our user base as a whole; * enable you to navigate between webpages more efficiently; * help us understand how our website is used so we can improve it; and * record information about your visit to help target advertising and content specific to you. The purpose for each cookie we use is set out below. WHAT TYPES OF COOKIES DOES NORTON ROSE FULBRIGHT USE AND HOW LONG WILL THEY STAY ON MY DEVICE? We use the following types of cookies: necessary cookies; analytics cookies; functional cookies; and marketing cookies. Each type of cookie has a different purpose, as described further below. * Some cookies are set by us (known as first-party cookies). * Other cookies are set by another organisation’s website (known as third-party cookies). For third-party cookies, we do not have access or control over these technologies. We do not tie the information gathered by third parties to our client’s or users’ personal information. * A cookie can either be a session cookie or a persistent cookie. A session cookie is stored temporarily on your computer or device while you use the website, and is deleted when you close your internet browser. A persistent cookie remains on your computer or device after you have closed your browser, so we can remember if you have visited our website before or your preferences. The period of time a persistent cookie stays on your computer or device varies and is set out below. Do not sell or share my personal information Reject all non-essential cookies Allow selection Manage cookies Allow all cookies Powered by Cookiebot by Usercentrics Skip to main content Regulatory Intelligence MAIN NAVIGATION (STATIC) * Documents / Regulators Documents / Regulators * Statutes, Rules and Public Laws * AML, FCPA, Sanctions AML, FCPA, Sanctions * Bank Secrecy Act and FinCEN Materials * CFIUS Materials * Foreign Corrupt Practice Act and Materials * OFAC Rules and Sanctions Materials * Administrative Law Administrative Law * Administrative Procedure Act * Regulatory Flexibility Act * Judicial Review * Congressional Review Act * Unfunded Mandates Reform Act * Banking Materials Banking Materials * All Banking Materials * CFPB Materials * FDIC Materials * Federal Reserve Board Materials * FHFA Materials * NCUA Materials * NYDFS Materials * OCC Materials * Federal Banking Rules * Federal Banking Statutes * Federal Deposit Insurance Corporation (FDIC) * Federal Housing Finance Agency (FHFA) * Federal Reserve Board and Federal Reserve Bank * Financial Stability Oversight Council (FSOC) * National Credit Union Administration (NCUA) * New York State and Department of Financial Services (NYDFS) * Office of the Comptroller of the Currency (OCC or Comptroller) * Bankruptcy / UCC Bankruptcy / UCC * Bankruptcy Code * CFTC Rules Part 190 * Federal Deposit Insurance Corporate Improvement Act * NY Uniform Commercial Code * Orderly Liquidation Authority * Protected Financial Contract Provisions * Securities Investor Protection Act * SIPC Rules * Commodities Commodities * Commodity Exchange Act * CFTC * CFTC Rules * NFA * NFA Rules * Contract Markets * ERISA ERISA * ERISA Materials * Employee Retirement Income Security Act * ERISA Rules * FTC / HSR / SBA FTC / HSR / SBA * Federal Trade Commission Act * FTC Rules * SBA Materials * Statutes and Rules Enforced by the FTC (EXTERNAL) * Hart-Scott-Rodino Act * HSR Rules * Government Research Agencies Government Research Agencies * FSOC * Governmental Accountability Office * OFR * President's Working Group * Congressional Research Service * Intellectual Property Intellectual Property * IP Materials * Copyrights (17 U.S.C. 101-1401) * Trademarks (15 U.S.C. 22) * Securities Securities * SEC Materials * FINRA Materials * MSRB Materials * National Securities Exchange Materials * SIPC/SIPA Materials * NASAA Materials * SEC Rules by CFR Part SEC Rules by CFR Part * 200.1 to 200.800 * 201.31 to 201.1106 * 202.1 to 202.190 * 203.1 to 203.8 * 204.1 to 204.77 * 205.1 to 205.7 * 209.0-1 to 209.1 * 210.1-01 to 210.12-29 * Interpretations Relating to Financial Reporting Matters * 227.100 to 227.503 * 229.10 to 229.1208 (Reg S-K) * 229.1000 to 229.1016 (Reg M-A) * 229.1100 to 229.1123 (Reg A-B) * 230.100 to 230.1001 * Interpretative Releases Relating to the Securities Act * 232.10 to 232.600-232.903a (Reg S-T) * 239.0-1 to 239.900 (Forms) * 240.0-1 to 240.36a1-2 * Interpretative Releases * 242.100 to 242.105 (Reg M) * 242.200 to 242.204 (Reg SHO) * 242.300 to 242.303 (Reg ATS) * 242.400 to 242.406 (Margin) * 242.500 to 242.505 (Reg AC) * 242.600 to 242.613 (Reg NMS) * 242.800 to 242.823 (Reg SB-SEF) * 242.900 to 242.909 (Reg SBSR) * 242.1000 to 1007 (Reg SCI) * 243.100 to 243.103 (Reg FD) * 244.100 to 244.102 (Reg G) * 245.100 to 245.104 (Blackout) * 246.1 to 246.22 (Credit Risk Retention) * 247.100 to 247.781 (Reg R) * 248.1 to 248.100 (Reg S-P) * 248.101 to 248.128 (Reg S-AM) * 248.201 to 248.202 (Reg S-ID) * 249.0-1 to 249.2000 (Forms) * 249b.1-249b.99 to 249b.400 (Further Forms) * 250.1 (Cross-Border Anti-Fraud) * 255.1 to 255.21 (Proprietary Trading) * 260.0-1 to 260.19a-1 * Interpretative Releases * 269.0-1 to 269.10 (TIA Forms) * 270.0-1 to 270.60a-1 (ICA Rules) * ICA Interpretative Releases * 274.0-1 to 274.404 (ICA Forms) * 275.0-2 to 275.222-2 (IAA Rules) * IAA Interpretative Releases * 279.0-1 to 279.9 (IAA Forms) * Interpretative (Chapter X Bankruptcy Act) * 285.1 to 285.4 * 286.1 to 286.4 * 287.1 to 287.101 * 288.1 to 288.101 * 289.1 to 289.101 * 290.1 to 290.101 * 300.100 to 300.600 (SIPC Rules) * 301.0-1 to 301.300c (SIPC Forms) * 303.1 to 303.12 * SEC Rules Alphabetical SEC Rules Alphabetical * Credit Risk Retention (Part 246) * Cross-Border Antifraud (Part 250) * Customer Margin Requirements (242.400 to 242.406) * Incentive-Based Compensation (PROPOSED) (Part 303) * Informal and Other Procedures (Part 202) * CFR Interps (Parts 211, 231, 241, 261, 271, 276 and 281) * IAA Forms (Part 279) * IAA Rules (Part 275) * ICA Forms (Part 274) * ICA Rules (Part 270) * Org / Ethics / Info (Part 200) * Regulation AB * Regulation AC * Regulation ATS * Regulation Blackout Trading Restriction * Regulation Crowdfunding * Regulation FD * Regulation G * Regulation M * Regulation M-A * Regulation NMS * Regulation R * Regulation S-AM * Regulation SB SEF (PROPOSED) * Regulation SBSR * Regulation SCI * Regulation SHO * Regulation S-ID * Regulation S-K * Regulation S-P * Regulation S-T * Regulation S-X * Regulations (Parts 285 to 290) * Rules of Practice (Parts 201 and 209) * Rules / Debt Collection (Part 204) * Rules / Investigations (Part 203) * Securities Act Forms (Part 239) * Securities Act Rules (Part 230) * SEA Forms (Parts 249 and 249b) * SEA Rules (Part 240) * SIPC Forms (Part 301) * SIPC Rules (Part 300) * Standards of Professional Conduct (205) * TIA Forms (Part 269) * TIA Rules (Part 260) * Volcker Rule (Part 255) * State Regulators State Regulators * CSBS * Delaware Corporate Law * NASAA * New York / NYDFS * Trade Associations and Regulators Associations * Advisers and Funds Advisers and Funds * Overview, Documents Overview, Documents * Investment Company Act Materials * Investment Advisers Materials * Investment Advisers: Rule by Rule * Investment Advisers Exemptions * IA Compliance IA Compliance * Cross and Principal Transactions * Custody Requirements * Fingerprinting of Employees * Form PF Reporting Requirement for Private Funds * Information Walls and Codes of Ethics * Recordkeeping and Reporting * SEA 13(f) Position Reporting * Soft Dollars * Wrap Fee Programs and Accounts * Waivers * IA Marketing, Sales, Customers IA Marketing, Sales, Customers * Brochure Rule * Contract Terms: Performance Fees, Assignments, Hedge Clauses * Form CRS Client Relationship Summary * Hypothetical Performance * Marketing * Political Contributions (Pay to Play) * Solicitors * Standard of Conduct and Fiduciary Obligation * IA Registration and Exemptions IA Registration and Exemptions * Adviser Registration Process * Definition of Investment Adviser * Disclosure and Registration on Form ADV * Exempt Reporting Advisers * Family Offices * Federal and State Jurisdiction * Non-U.S. Advisers ("Foreign Private Advisers" and "Participating Affiliates") * Private Fund Advisers * Registration Requirement * Single Registration of Multiple Advisers * ICA Registration Exemptions ICA Registration Exemptions * ICA Registration Exemptions: Section by Section and Rule by Rule * ICA Section 3(a)(1) (Asset Test) * ICA Sections 3(c)(1) and (7) (Private Funds) * ICA Section 3(b) (Not an Investment Company) * ICA Section 3(c)(3) (Foreign Banks and Insurance Companies) * ICA Registration Exemptions under Section 3 ICA Registration Exemptions under Section 3 * ICA Rule 3a-1 (Prima Facie Investment Companies) * ICA Rule 3a-2 (Transient Investment Companies) * ICA Rule 3a-3 (Investment Companies Owned by Non-RICs) * ICA Rule 3a-4 (Investment Advisory Programs) * ICA Rule 3a-5 (Finance Subsidiaries) * ICA Rule 3a-6 (Foreign Banks) * ICA Rule 3a-7 (ABS Issuers) * ICA Rule 3a-8 (RD Companies) * ICA Rule 3c-1 (Definition of "beneficial ownership" for purposes of Section 3(c)(1)) * ICA Rule 3c-2 (Beneficial ownership in SBICs) * ICA Rule 3c-3 (Certain debt securities offered by SBICs) * ICA Rule 3c-5 (Beneficial ownership by knowledgeable employees) * ICA Rule 3c-6 (Transfers of interests in private funds) * ICA Section 3(c)(10) (Charitable Organizations) * ICA Section 6(b) (Employees' Securities Companies) * ICA Section 7(d) (Foreign Funds) * ICA Sections 3(c)(4), (5) and (6) (Funds, Including REITs) * ICA Custody Requirement * Venture Capital Advisers * AML / FCPA / Sanctions AML / FCPA / Sanctions * AML AML * Anti-Money Laundering * FinCEN Materials * Suspicious Activity Reports * Politically Exposed Persons * FCPA * Sanctions * Banking Banking * Overview, Regulators, Documents Overview, Regulators, Documents * Banking Materials * Consumer Financial Protection Bureau (CFPB) Materials * CFPB Rule by Rule * Federal Deposit Insurance Corporation (FDIC) Materials * Federal Housing Finance Agency (FHFA) Materials * Federal Reserve Board (FRB) Materials * FRB Rule by Rule * Financial Stability Oversight Council (FSOC) Materials * National Credit Union Administration (NCUA) Materials * New York State and Department of Financial Services (NYDFS) Materials * Office of the Comptroller of the Currency (OCC) Materials * Capital, Liquidity Capital, Liquidity * Regulation D Reserve Requirements * Capital Review and Analysis * Bank Capital Requirements * FRB Capital Stock * Interbank Liabilities * Liquidity Liquidity * Bank Liquidity * High Quality Liquid Assets * Liquidity Coverage Ratio * Stable Funding Ratio * Compliance, Ops, Conflicts Compliance, Ops, Conflicts * Cybersecurity and Data Protection * Enforcement Procedures * FRA Sections 23A and B; Regulation W * Identity Theft * Interlocks Act * International Lending * Loans to Insiders * Outsourcing * Provision of Financial Records * Unlawful Internet Gambling * Volcker Rule * Consumer Protection, Anti-Discrimination Consumer Protection, Anti-Discrimination * Affiliate Marketing * Community Reinvestment Act (CRA) * CRA Related Agreements * Consumer Leasing * Consumer Privacy * Equal Credit Opportunity Act (ECOA); Regulation B; Fair Lending * Fair Credit Reporting * Fair Debt Collection; Regulation F * Identity Theft * Medical Information * Payday Lending * Telemarketing * Truth in Lending Act (TILA); Regulation Z * Insolvency Insolvency * Bank Insolvency * FRB Emergency Lending * FRB Regulation QQ: Resolution Plans * Protected Financial Contracts * Mortgages and Real Estate Mortgages and Real Estate * Alternative Mortgage Transactions Parity Act (AMTPA); CFPB Regulation D * Home Mortgage Disclosure Act (HMDA); Regulation C * Land Registration * Mortgage Acts and Practices; Mortgage Advertising * Mortgage Assistance Relief * Real Estate Settlement Procedures Act (RESPA); Regulation X * S.A.F.E. Act; Mortgage Originators * Payments Payments * Collection of Checks * Electronic Funds Transfer Act (EFTA); Regulation E * Financial Market Utilities * Money Service Businesses * Powers, Misc. Activities Powers, Misc. Activities * Marketplace Lending * Securities and Swaps Activities Securities and Swaps Activities * Broker-Dealer Networking Arrangements * Foreign Currency * Margin for Securities Loans (Regulation U and Regulation X) * Margin for Swaps and Security-Based Swaps * Regulation R; Bank Broker-Dealer Activities * Volcker Rule * Bankruptcy / UCC Bankruptcy / UCC * Bankruptcy Code and Basics * Bank Insolvency * Broker-Dealer Insolvency * FCM Insolvency * Protected Financial Contracts * Orderly Liquidation * Security Interests and the Uniform Commercial Code (UCC) * Broker-Dealers Broker-Dealers * Overview, Regulators, Documents Overview, Regulators, Documents * SEC Materials on Broker-Dealers * SEA Broker-Dealer Rules: Rule by Rule * SEC Broker-Dealer Registration Guide * Lofchie's Guide to Broker-Dealer Regulation * FINRA Materials * FINRA Rule by Rule * MSRB and Muni Materials * MSRB Rule by Rule * NASAA Materials; Uniform Securities Acts; State Securities Law * Capital, Custody, Records, Reporting Capital, Custody, Records, Reporting * Capital Capital * BD Capital Requirements * Disclosure of Financial Condition * Subordination Agreements * Withdrawals and Business Curtailment * Custody Custody * Custody * Customer Account Transfers * Handling of Proxies * Insolvency of BDs and SIPA * Liquidity Requirement * Recordkeeping * Reporting Reporting * Customer Complaints; Self-Reporting * Financial Reporting * Government Securities: Large Position Reports * Large Trader Reports * Risk Assessment Rules * Compliance Compliance * CCO and Supervisory Systems CCO and Supervisory Systems * BD Supervisory Systems and Certification * Supervision * BD General Anti-Fraud (FINRA Rule 2020) * BD Fidelity Bonds * Customer Complaints; Self-Reporting * FINRA Fair Dealing Obligation * Holding Customer Mail * Taping Rule * Insider Trading and Information * Employee Monitoring Employee Monitoring * Discretionary Accounts and Unauthorized Trading * Employee Accounts From/At Other Firms * Employees Borrowing from / Lending to Customers * Employees' Outside and Personal Activities * Operations Operations * Business Continuity * Cybersecurity and Data Protection * Identity Theft * Regulation SCI * Outsourcing * MSRB Compliance MSRB Compliance * Muni Advisor Conduct Regulation * Muni Fair Dealing * Muni Supervision * Oversight of Muni Firms * Employees Employees * Employee Accounts From/At Other Firms * Employees Borrowing from / Lending to Customers * Employees' Outside and Personal Activities * Finders, Retirees and Unregistered Persons * Fingerprinting * Muni Associated Persons * Personal Account Trading * Qualifications and Continuing Education Qualifications and Continuing Education * Continuing Education * Employee Qualifications * Enforcement Enforcement * Arbitration * Bad Actor Disqualifications * Expungement of Information * Insider Trading * Securities Law Enforcement Procedures and Actions * Statutory Disqualification * Waivers * Whistleblowers * Offerings Offerings * Research * SEA Rules SEA Rules * Contingent Offerings * Disclosures of Conflicts * Prospectus Delivery * Regulation M (Trading in Connection with Offering) * Sales at the Market * FINRA Rules FINRA Rules * Corporate Financing Rules * New Issue Allocations * Notification of Reg M Distribution * Private Placement Rules * Selling Syndicate Procedures * MSRB Rules MSRB Rules * Distribution Procedures * Electronic Municipal Market Access (EMMA) * Financial Advisory * Offering Disclosures * Products / Credit / Services Products / Credit / Services * Callable Securities * Investment Analysis Tools * Credit Credit * Day-Trading * Margin for Broker-Dealers (Regulation T and FINRA Rule 4210) * Margin for Non-Broker-Dealers (Regulation U and Regulation X) * Protected Financial Contracts * Repo Agreements * Securities Lending * TBAs and the MSFTA * Options / Security Futures Options / Security Futures * Securities Options * Index and Currency Warrants * Large Option Position Reporting (LOPR) * Marketing of Options * Option Disclosure Documents * Security Futures: BD and FCM Regulation * Security Futures: Market Regulation * Interests in Funds Interests in Funds * Breakpoint Sales and Share Class Issues * Communications about CMOs * Direct Participations * Marketing of Funds * Reciprocal Dealings or Shelf Space * Variable Annuities * Munis Munis * Click to see Focus Pages under "Munis" * US Govs US Govs * Click to see Focus Pages under "U.S. Governments" * Security-Based Swaps Security-Based Swaps * Click to see SBS Focus Pages under "Swaps" * Service Fees * Registration Requirement, Exemptions, Process Registration Requirement, Exemptions, Process * Muni Advisor Registration Requirement * Non-U.S. Broker-Dealers / SEA Rule 15a-6 * Registration Process Registration Process * BD Registration Process * FINRA Membership Process * Muni Dealer and Muni Advisor Registration Process * Regulation R; Bank Broker-Dealer Activities * Separately Identifiable Department or Division of Bank * Sales, Disclosures Sales, Disclosures * Affiliate Marketing * Consumer Privacy * Gifts and Entertainment * Marketing * Networking Arrangements * Political Contributions (Pay to Play) * Prohibition against Customer Guarantees and Sharing in Accounts * Research * Sales Contests and Non-Cash Compensation * Telemarketing * General Disclosures General Disclosures * Account Statements * BD and Muni Advisor Investment Brochure * Confirmations * Disclosure of Financial Condition * Disclosures of Conflicts * SIPC Disclosure * Product Specific Disclosures Product Specific Disclosures * Communications about CMOs * Marketing of Funds * Marketing of Options * Muni Advertising * Muni Time of Trade Disclosures * Muni Trade Confirmations * Option Disclosure Documents * Suitability and Customers Suitability and Customers * Customer Information / Know Your Customer (KYC) * Suitability * Muni Suitability * Recommendations of OTC Equity Securities * Regulation Best Interest * Sophisticated Municipal Market Professionals ("SMMPs") * Seniors * Servicemembers * Trading, Trade Reporting Trading, Trade Reporting * Muni Trade Settlement and Uniform Practices * Short Sales and Positions * Volcker Rule * Markets Markets * FINRA Alternative Display Facility ("ADF") * Market Access Rule (SEA Rule 15c3-5) * National Securities Exchange Materials * Regulation SCI * Customer Trade Obligations Customer Trade Obligations * Adjustment of Open Orders * Best Execution * Front Running and Trading Ahead * Trade Allocation * Trading Mark-Ups * Quoting Quoting * Muni Security Quoting Obligations * Participant Identifiers * FINRA Quoting Rules * Quoting Obligations * Improper Conduct Improper Conduct * Anti-Intimidation * Insider Trading * Manipulative Trading: Spoofing, Wash Sales, Marking the Close * Payments for Market Making * Trade Reporting Trade Reporting * Blue Sheets * Clock Synchronization and Time Stamping * Consolidated Audit Trail (CAT) * Muni Trade Reporting * Order Audit Trail System (OATS) * Trade Reporting and Compliance Engine (TRACE) * Types of Firms Types of Firms * Introducing and Clearing Firms * Muni Advisors * Non-U.S. Broker-Dealers / SEA Rule 15a-6 * Separately Identifiable Department of Bank * Transfer Agents * Commodity Exchange Act Commodity Exchange Act * Overview, Regulators, Documents Overview, Regulators, Documents * Commodity Exchange Act * CFTC Rules * CEA Materials * CFTC Materials * National Futures Association * NFA Materials * NFA Rules * Materials of the Contract Markets * CPOs and CTAs CPOs and CTAs * Registration Registration * Registration Process * Existence of a Pool * Rule 4.7 Pool * Exemptions under Rule 4.5 and 4.6 * Exemptions under Rules 4.13 and 4.14 * Exemption under CEA Section 4m(1) * Exemption under CEA Section 4m(3) * Solely Incidental Exemption * Family Offices * Non-U.S. CPOs * Fingerprinting * Reporting and Recordkeeping Reporting and Recordkeeping * Account Statements * Hypothetical Performance * Reporting on Form PQR and PR * Trading and Positions Trading and Positions * Large Position / Large Trader Reports * Position Limits * Cross-Border Cross-Border * Custody for Foreign Futures * Foreign Boards of Trade (FBOTs) * Non-U.S. Commodity Pool Operators * Non-U.S. FCMs * FCMs FCMs * Capital Capital * Early Warning * FCM, IB, RFD: Capital * FCM Insolvency * Risk Assessment Rules * Subordination Agreements * Withdrawals of Capital and Business Curtailment * Custody Custody * Custody for Foreign Futures * FCM, IB, RFD, LTM, Swap Dealer: Custody * Recordkeeping and Reporting Recordkeeping and Reporting * CFTC Disclosure Obligations * Large Position / Large Trader Reports * Risk Assessment Rules * Registration Registration * FCM / IB Registration Requirement * Non-U.S. FCMs * Trading and Positions Trading and Positions * Manipulative Trading * Position Limits * Compliance Compliance * Business Continuity * Ethics Training * Fingerprinting * Investor Status * NFA By-Law 1101 * Outsourcing * Political Contributions (Pay to Play) * Research * Self-Exam Questionnaire * Statutory Disqualification * Supervision * Volcker Rule * Markets Markets * Derivatives Clearing Organizations (DCOs) * Foreign Boards of Trade (FBOTs) * Materials of the Contract Markets * SDRs and SBSDRs (Swap and Security-Based Swap Data Repositories) * Security Futures and Commodity Options Security Futures and Commodity Options * Commodity Options * Security Futures: BD and FCM Regulation * Security Futures: Market Regulation * Swap Dealers and Swaps Swap Dealers and Swaps * Overview of Swaps Rules * Margin * Trading and Clearing Trading and Clearing * Clearing Procedures Clearing Procedures * Overview, Documents * Made Available for Trading / Required Transactions / Blocks * SDRs and SBSDRs (Swap and Security-Based Swap Data Repositories) * Swap Clearing Requirement * Swap Confirmations and Acknowledgments * Swap Portfolio Compression * Swap Portfolio Reconciliation * Capital Capital * BD, FCM, SD and SBSD Withdrawals of Capital and Business Curtailment * Swap Dealer and SBSD Capital * Enforcement and Bad Acts Enforcement and Bad Acts * Arbitration * Bad Actor Disqualifications * Expungement of Information * Insider Trading * Securities Law Enforcement Procedures and Actions * Statutory Disqualification * Waivers * Whistleblowers * CFIUS / ERISA / SEA Section 13 CFIUS / ERISA / SEA Section 13 * CFIUS Materials * DOL and EBSA ERISA Materials * Exchange Act Reporting Exchange Act Reporting * SEA Large Trader Reports * SEA 13(f) Position Reporting * Issuer Governance and Disclosures Issuer Governance and Disclosures * Rating Agencies * Delaware Corporate Law Materials * Governance / Proxies Governance / Proxies * SEC Materials on Governance * Handling of Proxies by Broker-Dealers * Proxy Advisors and Proxy Advice * Transactions Transactions * Partial Tenders * Issuer Repurchases Rule 10b-18 * Regulation S-K Regulation S-K * Reg S-K (Rule by Rule) * Items 100 to 105 Items 100 to 105 * Item 101 (Description of Business) * Item 102 (Description of Property) * Item 103 (Legal Proceedings) * Item 104 (Mine Safety) * Item 105 (Risk Factors) * Items 201 and 202 (Securities of the Registrant) * Items 301-308 Items 301-308 * Items 301 and 302 (Financial Disclosures) * Item 303 (Management Discussion and Analysis) * Item 304 (Accountants) * Item 305 (Market Risk) * Items 307 and 308 (Controls) * Items 401-407 Items 401-407 * Item 401 (Directors, Insiders) * Item 402 (Executive Compensation) * Item 403 (Ownership) * Item 404 (Transactions with Related and Control Persons) * Item 405 (SEA Section 16) * Item 406 (Code of Ethics) * Item 407 (Governance) * Items 501-508 Items 501-508 * Items 501-503 (Prospectus Cover and Summary) * Items 504-506 (Proceeds, Price, Dilution) * Items 507-511 (Distribution Disclosures) * Item 512 (Undertakings) * Item 601 (Exhibits) * Items 701-703 Items 701-703 * Item 701 (Unregistered Sales) * Item 702 (Indemnification) * Item 703 (Issuer Purchases) * Items 801-1406 Items 801-1406 * Items 801-802 (Industry Guides) * Items 901-915 (Roll-Ups) * Items 1201-1208 (Oil and Gas) * Items 1301-1305 (Mining) * Items 1401-1406 (Banks) * Other Disclosure Matters Other Disclosure Matters * Conflict Minerals * Resource Extraction * Pay Ratio * Regulation FD * Prospectus Matters Prospectus Matters * Preliminary Prospectus * Final Prospectus * Free-Writing Prospectus * Products and Contracts Products and Contracts * What is a Security? * Asset-Backed Asset-Backed * ABS Due Diligence Reports * Credit Risk Retention * Regulation AB * ESG / Climate * Securities Financing Securities Financing * Repo Agreements * Securities Lending * Regulation T and Rule 4210 * Regulation U and Regulation X * Intellectual Property * Munis Munis * Advertising * Advisors * Advisor Conduct Regulation * Advisor Investment Brochure * Advisor Record Keeping * Advisor Registration Requirement * Associated Persons * Dealer & Advisor Registration Process * Distribution Procedures * Electronic Municipal Market Access * Fair Dealing * Financial Advisory * MSRB & Municipal Securities Materials * Offering Disclosures * Oversight of Muni Firms * Recordkeeping * SA Section 3(a)(2) Exemptions * Security Quoting Obligations * Sophisticated Municipal Market Pros * Suitability * Supervision * Time of Trade Disclosures * Trade Confirmations * Trade Reporting * Trade Settlement & Uniform Practices * Digital Assets, Cryptos and ICOs * LIBOR & Indices * Options and Security Futures Options and Security Futures * Callable Securities * Commodity Options * Index & Currency Warrants * Large Option Position Reporting * Security Futures: BD and FCM Regulation * Security Futures: Market Regulation * Government Securities Materials Government Securities Materials * Government Securities * Rule by Rule * Large Position Reports * BDs: Registration Requirement * Foreign Currency * Marketplace Lending * ESG, Climate Change, Sustainability * Securities Offerings Securities Offerings * Securities Offering Documents * Securities Act Rule by Rule * Registered Offerings Registered Offerings * Free-Writing Prospectus * Preliminary Prospectus * SA Rule 430 A, Rule 430B, Rule 430C and Rule 430D * SA Section 3 Exemptions SA Section 3 Exemptions * SA § 3 Exemptions and Related Rules * SA § 3(a)(2) Exemption for Govs, Munis, Banks, Etc. * SA § 3(a)(3) Current Transactions * SA § 3(a)(4) Charitable Organizations * SA § 3(a)(5) Savings and Loans; Farmer's Cooperatives * SA § 3(a)(6) Railroad Equipment Trusts * SA § 3(a)(7) Receiver in Bankruptcy * SA § 3(a)(8) Insurance and Annuities * SA § 3(a)(9) Exchange Offers * SA § 3(a)(10)Court Approved Exchanges * SA § 3(a)(11) Intrastate Offerings * SA § 3(a)(12) Bank Holdco Reorganizations * SA § 3(a)(13) Church Plans * SA § 3(a)(14) Security Futures Products * SA Section 4 Exemptions SA Section 4 Exemptions * SA § 4 Transaction Exemptions and Related Rules * Accredited Investors * Bad Actor Disqualifications as to Securities Offerings * SA Exemption: Rule 144A * SA § 4(a)(1) Not by An Issuer, Underwriter or Dealer * SA § 4(a)(2) Private Placements * SA § 4(a)(3) Dealer Prospectus Delivery * SA § 4(a)(4) Exemption for Brokers' Transactions * SA § 4(a)(5) First Liens on Real Estate * SA § 4(a)(6) Sales of Less Than $5 Million * Other SA Exemptions Other SA Exemptions * Regulation S - Non U.S. Offerings * Exemption: Rule 144 and Rule 145 * SA Rule 144A * Regulation A and Regulation A+ * Regulation E * Rule 701: Compensatory Securities Offerings * Cross-Border Transactions * SEA Distribution Rules SEA Distribution Rules * Contingent Offerings * Disclosures of Conflicts * Prospectus Delivery * Regulation M (Trading in Connection with Offering) * Sales at the Market * FINRA Distribution Rules FINRA Distribution Rules * Corporate Financing Rules * New Issue Allocations * Notification of Reg M Distribution * Private Placement Rules * Selling Syndicate Procedures * State Law Materials * Other Content * News * Regulatory Change Management Tracker * Rules in Transition * Enforcement USER ACCOUNT MENU * My account My account * Profile Settings * Alerts * Bookmarked Pages * Logout X SUBSCRIBE SIGN IN NEWS & INSIGHTS Help Search Search Sort by: Newest Newest Sort ascending Oldest Sort ascending Relevance Title 19568 News Results January 12, 2024 CFPB REMINDS CONSUMER REPORTING COMPANIES OF THEIR FCRA OBLIGATIONS The CFPB reminded consumer reporting companies of their obligations under the Fair Credit Reporting Act to (i) address inaccurate information found in background checks, (ii) monitor for improper credit file sharing and (iii) ensure that background check information is accessible to consumers. January 12, 2024 GLOBAL SOFTWARE COMPANY SETTLES FCPA BRIBERY VIOLATIONS A global software company settled SEC charges for anti-bribery, books and records and internal accounting controls violations under the Foreign Corrupt Practices Act. January 11, 2024 BIPARTISAN REPRESENTATIVES CRITICIZE DOL FIDUCIARY RULE PROPOSAL U.S. Representatives French Hill (R-AR), David Scott (D-GA), and Ann Wagner (R-MO) urged the DOL to "cease its efforts" to adopt the "Retirement Security Rule" proposal "to prevent needlessly inflicting harm on millions of retirement savers across the country." January 11, 2024 REPUBLICAN SENATORS CLAIM SEC LACKS AUTHORITY TO FINALIZE CLIMATE EMISSIONS DISCLOSURE RULE In a letter to SEC Chair Gary Gensler, U.S. Senators Kevin Cramer (R-ND) and Shelley Moore Capito (R-WV) asserted that the SEC lacks the authority to finalize a rule requiring companies to disclose their greenhouse gas emissions and other disclosures to the public. January 11, 2024 HFS CHAIR MCHENRY DEMANDS SEC EXPLANATION FOR COMPROMISED TWEET ON BITCOIN ETFS House Financial Services Committee Chair Patrick McHenry demanded that the SEC explain the breach of its X (Twitter) account that resulted in a false post stating that Bitcoin ETFs were approved to be listed on all registered national securities exchanges. PAGE: * 1 * 2 * 3 * 4 * 5 * 6 * 7 * 8 * 9 * … * Next › Next page * Last » Last page PREMIUM ACCESS Regulatory Intelligence combines regulatory and enforcement news, analysis, and practical work tools on an easy-to-use digital platform. Join Premium DAILY NEWS & INSIGHTS We provide free news and commentary to 20,000 industry professionals, regulators, academics, and journalists. GET THE NEWSLETTER Cancel I have read, understand, and agree to the TERMS OF USE, PRIVACY POLICY and COOKIE AND USAGE POLICY MARKETING MENU FOOTER * Privacy * Contributors * Purpose * Terms of Use & Attorney Advertising * Cookie Policy Copyright © 2024 Find Know Do; Steven Lofchie