Financial Regulation News

Financial Regulation News, brought to you by Macallan Communications, is your go-to daily news platform for updates on regulations affecting both global and regional financial institutions and their clients. Our dedicated team of seasoned journalists stays closely connected to the happenings in Washington, delivering essential financial policy news each day along with exclusive features in a clear and concise manner. We aim to provide valuable insights into the latest actions from Congress, updates about federal and state regulators that oversee financial markets and the banking sector, and the responses these developments elicit from both Wall Street and Main Street.

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Legislation would amend, modernize Securities Act of 1933

2 days ago | financialregnews.com | Melina Druga

Bipartisan legislation recently introduced in the U.S. House of Representatives would amend the Securities Act of 1933. The Securities Research Modernization Act would ensure businesses have better visibility, draw more investor interest, and have a greater chance of a successful public offering. Currently many small and mid-sized businesses are excluded from research coverage during the IPO process. U.S. Reps. Cleo Fields (D-LA) and Roger Williams (R-TX) introduced the bill.
Survey: Majority of businesses believe economy will grow in 2025

3 days ago | financialregnews.com | Melina Druga

More than 60 percent of businesses believe the economy will grow over the next six months, according to a survey conducted on behalf of Provident Bank, the oldest New Jersey-based community-focused financial institution. The Mid-Year Business Outlook Survey is based on the responses of 1,000 business owners and senior executives working for companies with more than $1 million in annual revenue.
SEC names new senior advisor and director of legislative and intergovernmental affairs

4 days ago | financialregnews.com | Liz Carey

Natalia Diez Riggin will take over as the Senior Advisor and Director of Securities and Exchange Commission’s Office of Legislative and Intergovernmental Affairs, the agency announced Tuesday. Riggin had served as acting director since joining the agency in January. “I’m pleased that Natalia will continue to lead this important office and serve as our primary liaison to Congress and other federal agencies as well as state governments,” SEC Chairman Paul S. Atkins said.
CFTC names acting director of the division of enforcement

4 days ago | financialregnews.com | Melina Druga

The Commodity Futures Trading Commission (CFTC) recently named Paul Hayeck as acting director of the division of enforcement. Hayeck has worked at the CFTC for 25 years. Most recently, he was Division of Enforcement deputy director, a role he had held since 2013, and served on the division’s Complex Fraud Task Force. He will continue to serve as the task force’s acting chief. Hayeck has degrees in banking law and economics.
Organization urges changes to Digital Asset Market Clarity Act

5 days ago | financialregnews.com | Melina Druga

The North American Securities Administrators Association (NASAA) recently sent a letter to the U.S. House Committee on Financial Services and the U.S. House Committee on Agriculture, urging changes to the Digital Asset Market Clarity Act to protect investors and promote responsible innovation.
Bank Policy Institute files motion to vacate CFPB rule

5 days ago | financialregnews.com | Dave Kovaleski

The Bank Policy Institute (BPI), Forcht Bank and the Kentucky Bankers Association filed a motion in U.S. District Court for the Eastern District of Kentucky over a Consumer Financial Protection Bureau (CFPB) rule. The rule in question is CFPB’s Section 1033 rule, which requires banks, credit unions, and other financial service providers to make consumers’ data available upon request to consumers and authorized third parties.
Treasury issues RFI for transition to electronic payments

5 days ago | financialregnews.com | Dave Kovaleski

The U.S. Department of the Treasury issued a request for information (RFI) related to an executive order that seeks to transition federal disbursements to electronic payments. The executive order (EO) in question is 14247, “Modernizing Payments to and From America’s Bank Account.” Beginning Sept. 30, all federal payments that are currently made by paper check —including Social Security benefits, tax refunds, and vendor payments — will be made electronically.
Tech scam victims to receive $4.2M in restitution

6 days ago | financialregnews.com | Melina Druga

Victims of a predatory tech sales program soon will receive $4.2 million in restitution. The attorneys general of 12 states sent a letter to Consumer Financial Protection Bureau’s (CFPB) acting director on May 6 informing him that a 2023 court order against Prehired LLC resulted in restitution for approximately 660 consumers nationwide. Unexplained delays kept the CFPB from distributing checks.
CFTC adds 43 foreign entities to Red List

6 days ago | financialregnews.com | Dave Kovaleski

The Commodity Futures Trading Commission (CFTC) added 43 unregistered foreign entities to its Red List. The Red List is a tool that provides information to U.S. market participants about foreign entities that are acting in an unregistered capacity. It is designed to help investors make more informed decisions about trading. The Red List, which stands for Registration Deficient List, launched in 2015 and contains almost 300 entities.
Bipartisan digital assets regulatory framework bill proposed in Congress

6 days ago | financialregnews.com | Kim Riley

Newly introduced bipartisan legislation on Capitol Hill would establish a federal regulatory framework for digital assets in the United States. “Our bill brings long-overdue clarity to the digital asset ecosystem [and] prioritizes consumer protection and American innovation,” said U.S. House Financial Services Committee Chairman French Hill (R-AR), who on May 29 sponsored the Digital Asset Market Clarity (CLARITY) Act of 2025, H.R. 3633.