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It was quite the busy day for the SEC yesterday (and for my financial regulatory colleague Mercedes Tunstall, who was actively monitoring and analyzing), with two major developments: More formalized SEC guidance on cybersecurity incident disclosure and a proposed rule to “evaluate and determine” whether the use of certain technologies could create a conflict of interests with investors. 

Keeping up with the SEC’s breakneck pace were several other U.S. and European regulatory bodies, with a week of much-anticipated guidance, which we cover this week along with several other important developments. 

Additionally, as we go to press, the Federal Reserve Board and the FDIC have announced that they will meet today to consider issuing proposals to implement the Basel III endgame regulations (aka “Basel IV”). The Office of the Comptroller of the Currency is likely to act today as well. We have our reading glasses ready, and will be providing our analysis on the proposals in the next week.    

For now, we hope you find this issue valuable. We’re happy to discuss anything on your mind. You can reach us here.

Daniel Meade 
Partner and Editor, Cabinet News and Views

July 27, 2023
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