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Washington Report 360 | December 16, 2022

Retail investor market structure, Insider trading, Nonbank financial firms, Financial Crimes, DOJ Landmark Agreement"

Get the latest thinking from KPMG

The Washington Report 360 will not be published for the next two weeks but will return January 6, 2023. Best wishes to everyone for Happy Holidays and a Wonderful New Year!

Key Highlights

  • Retail investor market structure. SEC proposes new rules and amendments that would significantly impact the retail investor market structure, including a Best Execution regulatory framework and changes to Regulation NMS for order execution, tick sizes, and order competition.
  • Insider trading. SEC finalizes amendments to insider trading Rule 10b5-1, including new disclosure requirements.
  • Nonbank financial firms. CFPB proposes rule to require nonbank financial firms to report agency and court orders to the CFPB.
  • Financial Crimes. FinCEN proposes rule on access to and protection of beneficial ownership information (second in a series of three rulemakings).
  • FSOC. Annual Report, highlighting recommendations to mitigate threats and vulnerabilities to financial stability in areas such as nonbank financial intermediation, digital assets, climate-related financial risk, treasury market resilience, cybersecurity, and transition from LIBOR.
  • DOJ. “Landmark agreement” with a city and Police Department settles a discrimination lawsuit and ends a “Crime-Free” rental housing program.
 Financial services regulatory news
  • Final rule implementing the Adjustable Interest Rate (LIBOR) Act, including safe harbor provisions
  • FinCen NPRM on access to and protection of beneficial ownership information
  • FSOC Annual Report, highlighting recommendations to mitigate threats and vulnerabilities to financial stability
  • “Landmark agreement” to  end “Crime-Free” rental housing program, resolving a discrimination lawsuit


 Financial services policy news


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Image of Jeffry Coble

Jeffry Coble

Director, Advisory, C&O Commercial

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