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NEXT EVENT – April 24th. Click for details!

Click Here to rSPV Or EMAIL shap9867@thinkerstreet.com

ThinkerStreet at The Players Event

Trust in mainstream media is at record lows in a critical election year, and the rapid evolution of generative AI could make it even harder to discern fact from fiction online. Join us for an engaging session exploring technology’s impact on media, from the rise of social media to today’s chatbots, featuring Tony Maciulis, award-winning journalist and Chief Content Officer of GZERO Media. Tony will share personal highlights from his illustrious career, including experiences as Katie Couric’s longtime producer, his pivotal role at a leading global risk firm (Eurasia Group), and intriguing tales from the world’s most influential summits.

Date: Wednesday, April 24th. Doors open at 6:00 pm. The conversation will begin around 6:30 pm.

Location: The Players, Gramercy

Availability: Limited guest spots. Players members welcome.

This event is $45. One free drink with cash bar available. All guests are subject to the rules of the club (no jeans or sneakers, business casual).

Please contact Jacob at shap9867@thinkerstreet.com if you are interested in attending.

Event Highlights

An insightful evening with Professor Khiara M. Bridges.

❮ ❯

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ThinkerStreet's FinReg Pocket Guide:

Financial Regulations Guide

Equity

Stocks

Regulators: SEC, SROs (FINRA, Stock Exchanges)
Laws: Securities Act of 1933, Securities Exchange Act of 1934, State "Blue Sky" Laws

REITs (Real Estate Investment Trusts)

Regulator: SEC, IRS, SROs (FINRA, Stock Exchanges)
Laws: Securities Act of 1933, Internal Revenue Code

Fixed Income

Bonds

Corporate Bonds: SEC

Municipal Bonds: SEC, MSRB

Treasury Bills: Department of the Treasury

Commercial Paper: Regulated by SEC under certain circumstances

Laws: Securities Act of 1933, Trust Indenture Act of 1939, MSRB Rules, Securities Exchange Act of 1934

Certificates of Deposit (CDs)

Regulator: FDIC, OCC, FRB
Laws: Federal Deposit Insurance Act, OCC Regulations

Cash Equivalents

Money Market Funds

Regulator: SEC
Laws: Investment Company Act of 1940

Derivatives

Futures Contracts

Regulator: CFTC
Laws: Commodity Exchange Act

Options Contracts

Regulator: CFTC (commodity options), SEC (equity options)
Laws: Commodity Exchange Act, Securities Exchange Act of 1934

Swaps

Regulator: CFTC, SEC (depending on structure)
Laws: Commodity Exchange Act, Securities Exchange Act of 1934, Dodd-Frank Act

Forwards

Regulator: CFTC (certain types)
Laws: Commodity Exchange Act, potentially other relevant laws

Structured Products

Notes, Certificates, Exchange-Traded Notes (ETNs), Principal-Protected Notes

Regulator: SEC, potentially CFTC (depending on structure)
Laws: Securities Act of 1933, Commodity Exchange Act, other relevant securities laws

Alternative Investments

Hedge Funds, Private Equity, Venture Capital

Regulator: SEC
Laws: Securities Act of 1933, Investment Company Act of 1940, Investment Advisers Act of 1940, Dodd-Frank Act, and the Volcker Rule

Real Estate

Direct Ownership

Private Real Estate Funds and REITs

Regulator: SEC, FINRA (for REITs), state real estate commissions
Laws: Applicable securities laws, state real estate laws

Commodities

Physical Commodities (e.g., gold, oil)

Regulator: CFTC
Laws: Commodity Exchange Act

Commodity-Focused Funds and ETFs

Regulator: SEC, CFTC (depending on structure)
Laws: Commodity Exchange Act, and, where applicable, securities laws

Infrastructure and Other Real Assets

Includes: Infrastructure, Timberland, Agriculture

Regulator: Depends on the investment vehicle's structure; direct investments might not have a specific federal regulator but are subject to environmental and land use regulations at the federal, state, and local levels. Infrastructure investments can be regulated by various bodies depending on the sector (e.g., Federal Energy Regulatory Commission for energy infrastructure).
Laws: Environmental laws, land use regulations, and other sector-specific regulations for infrastructure (e.g., energy, transportation).

Private Debt

Includes: Loans, mezzanine financing, distressed debt

Regulator: SEC (if traded or if the fund offering the debt is registered), state regulators
Laws: Securities Act of 1933, Securities Exchange Act of 1934 (for traded debt), state securities laws

Secondaries

Includes: Investments in existing private equity or hedge fund stakes

Regulator: SEC
Laws: Securities Act of 1933, as transactions involve securities; specific regulations may depend on the nature of the underlying assets.

Other Instruments

Mutual Funds and ETFs:

Mutual Funds

Regulator: SEC
Laws: Investment Company Act of 1940

Exchange-Traded Funds (ETFs)

Regulator: SEC
Laws: Investment Company Act of 1940, Securities Exchange Act of 1934, Rule 6c-11 of the Investment Company Act of 1940

Insurance Products

Regulator: State Insurance Departments
Laws: State Insurance Regulations

Foreign Exchange (Forex)

Regulator: CFTC, NFA, and to lesser extent, SEC. Treasury Department and Federal Reserve play role in monetary policy
Laws: Commodity Exchange Act

Crowdfunding Investments

Regulator: SEC
Laws: JOBS Act Title III

Digital Assets and Emerging Technologies

Digital Assets and Cryptocurrencies

Regulator: SEC (securities-related aspects), CFTC (commodities-related aspects), FinCEN (for anti-money laundering), IRS, FTC
Laws: Securities Act of 1933, Commodity Exchange Act, Bank Secrecy Act (for AML/CFT compliance), Investment Advisors Act of 1940

Peer-to-Peer Lending

Regulator: SEC, FTC
Laws: Securities Act of 1933, Dodd-Frank Wall Street Reform and Consumer Protection Act

Robo-Advisors

Regulator: SEC
Laws: Investment Advisers Act of 1940

Additional Considerations

Sarbanes-Oxley Act: Enhances corporate governance and financial reporting, impacting all publicly traded companies in the U.S.

Dodd-Frank Wall Street Reform and Consumer Protection Act: Introduced regulations impacting various aspects of financial markets, including derivatives, hedge funds, and consumer protection.

Consumer Protection Laws: Various regulations like the Truth in Lending Act (TILA) and the Fair Credit Reporting Act (FCRA) protect consumers in specific financial products.

Global Regulation, Sustainability, and Governance

Overview of International Regulatory Organizations

International Organization of Securities Commissions (IOSCO):

Facilitates global cooperation and information sharing among securities regulators, affecting American corporations through its declarations and norms.

Financial Stability Board (FSB):

Crafts and promotes international financial regulatory principles, impacting American policies on capital sufficiency and systemic risk oversight.

Basel Committee on Banking Supervision (BCBS):

Establishes worldwide banking standards including capital sufficiency, stress evaluations, and liquidity risk in markets. Its Basel III protocol significantly influences American banks and financial entities.

Navigating Cross-Border Regulatory Compliance

General Data Protection Regulation (GDPR):

Impacts American businesses processing data of EU citizens, enforcing data protection norms and potentially imposing data transfer limitations.

Financial Action Task Force (FATF):

Dictates international standards for anti-money laundering and terrorist finance combatting. Its regulations for virtual asset service providers affect American entities in the digital currency arena.

Markets in Financial Instruments Directive (MiFID II):

Governs investment entities and markets within the EU, affecting American firms providing services or products within the EU.

Exploring Additional International Frameworks

Involvement with regional and global frameworks such as the Council for Financial Stability of the Americas (FSAI) and the International Association of Insurance Supervisors (IAIS) also impacts American financial entities globally.

In-depth Examination of Sustainability and Governance (ESG) Investments and Frameworks

Principal ESG Reporting and Disclosure Protocols include International Integrated Reporting Council (IIRC), Global Reporting Initiative (GRI), Task Force on Climate-Related Financial Disclosures (TCFD), Sustainability Accounting Standards Board (SASB), and UN Sustainable Development Goals (SDGs).

Trends in Regulatory Requirements for ESG Disclosures are evolving globally, with the EU leading in establishing thorough ESG reporting norms.

Global and Regional ESG Initiatives like UN Global Compact, Carbon Disclosure Project (CDP), and Principles for Responsible Investment (PRI) promote sustainability and transparency.

ESG Performance Benchmarking and Evaluation through Dow Jones Sustainability Indices (DJSI), and ESG Ratings by agencies like LSEG, MSCI, and Sustainalytics, and emerging technology platforms like THINKERSTREET LLC.

Innovative Strategies and Approaches for ESG Investments, including impactful investing and thematic ESG investments focusing on areas like renewable energy and social welfare.

Diverse ESG Standards and Considerations are present across sectors and regions, contributing to a varied landscape of ESG standards.

Additional Financial Landscape Considerations

Impact of Financial Technology and Cybersecurity: The rise of fintech innovations reshapes traditional financial markets, emphasizing the importance of cybersecurity.

Integration of International Financial Instruments like Eurobonds and ETFs highlights the significance of understanding global financial regulatory considerations.

Evolving Digital Asset Regulations necessitate clear regulatory frameworks for digital assets, including cryptocurrencies and NFTs.