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Securities Regulation and Initial Coin Offerings: A Legal Primer

Description: This report discusses the principles that the Securities and Exchange Commission (SEC) and courts use to determine whether a transaction qualifies as an offering of "securities" under the Securities Act and the Exchange Act, and the application of those principles to initial coin offerings (ICOs).
Date: August 31, 2018
Creator: Sykes, Jay B.
Partner: UNT Libraries Government Documents Department

The Latest on the SEC's Consideration of the Proposed Acquisition of Chicago Stock Exchange

Description: This report is an update of an earlier report regarding the SEC's consideration of a rule change regarding the proposed acquisition of the Chicago Stock Exchange by a group of Chinese investors with ties to the Chinese government. The SEC disapproved the rule change due to a lack of documentation on the funding sources of some investors and the deal was called off on March 5, 2018.
Date: March 7, 2018
Creator: Sykes, Jay B.
Partner: UNT Libraries Government Documents Department

Trends in Bank Secrecy Act/Anti-Money Laundering Enforcement

Description: This report provides an overview of recent trends in the enforcement of the Bank Secrecy Act (BSA), the principal U.S. anti-money laundering law regulating financial institutions. The report begins by providing general background information on BSA penalties and enforcement. The report concludes by discussing three recent trends that commentators have observed in BSA enforcement: (1) an increase in the frequency with which BSA enforcement actions involve an assessment of money penalties, and an increase in the size of those penalties, (2) an increased emphasis by regulators on the acceptance of responsibility by institutions entering into settlement agreements for BSA violations, and (3) an increased risk of individual liability for BSA violations.
Date: January 12, 2018
Creator: Sykes, Jay B.
Partner: UNT Libraries Government Documents Department

Changes to "Too Big to Fail" Treasury Recommends Revisions to Dodd-Frank SIFI Designation Process for Non-Banks (Part 1)

Description: First part of a report discussing the Treasury Department's recent report recommending revisions to the Financial Stability Oversight Council's (FSOC's) process for designating non-bank financial institutions as "systematically important financial institutions (SIFI's) also known as "Too Big to Fail" institutions. This part provides general background on the SIFI designation process
Date: December 1, 2017
Creator: Sykes, Jay B.
Partner: UNT Libraries Government Documents Department

Changes to "Too Big to Fail" Treasury Recommends Revisions to Dodd-Frank SIFI Designation Process for Non-Banks (Part 2)

Description: Second part of a report discussing the Treasury Department's recent report recommending revisions to the Financial Stability Oversight Council's (FSOC's) process for designating non-bank financial institutions as "systematically important financial institutions (SIFI's) also known as "Too Big to Fail" institutions. This part discusses the legal debate over the designation process, the Treasury Department's recommended changes for the process, and how those changes may affect the Senate's consideration of the Financial CHOICE Act of 2017 (which would repeal FSOC's authority to designate non-banks as SIFIs altogether).
Date: December 1, 2017
Creator: Sykes, Jay B.
Partner: UNT Libraries Government Documents Department

Supreme Court October Term 2017: A Preview of Select Cases

Description: This report highlights four of the notable cases of the new term that could impact the work of Congress: (1) Carpenter v. United States, which examines the limits the Fourth Amendment imposes on the warrantless collection of the historical cell phone location records of a criminal suspect; (2) Christie v. National Collegiate Athletic Association (NCAA), a case exploring whether Congress, by prohibiting a state from partially repealing a state law, impermissibly commandeers the powers of the state; (3) Gill v. Whitford, which considers when a state's redistricting plan amounts to impermissible partisan gerrymandering; and (4) Masterpiece Cakeshop v. Colorado Civil Rights Commission, which asks whether a baker has a First Amendment right to decline to make cakes for same-sex weddings. Each case is addressed in a separate section that provides background information on the case; summarizes the arguments that were or are likely to be presented to the Court in each case; and examines the implications that the Court's ruling could have for Congress, including broader ramifications for the jurisprudence in a given area of law.
Date: September 19, 2017
Creator: Nolan, Andrew; Brannon, Valerie C.; Garcia, Michael John; Harrington, Ben; Sykes, Jay B. & Whitaker, L. Paige
Partner: UNT Libraries Government Documents Department

Federalism-Based Limitations on Congressional Power: An Overview

Description: This report provides a broad overview of the various legal doctrines that inform the boundaries of Congress's authority vis-à-vis the states under the Constitution. It addresses several general principles, discusses "internal" limitations on Congress's exercise of powers, and concludes by outlining several "external" federalism-based limitations on Congress's powers, such as the anti-commandeering, anti-coercion, state sovereign immunity, and equal sovereignty doctrines.
Date: September 27, 2018
Creator: Nolan, Andrew; Freeman, Wilson C.; Lewis, Kevin M.; Hickey, Kevin J. & Sykes, Jay B.
Partner: UNT Libraries Government Documents Department