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Shearman & Sterling LLP
The CFTC has recently published the following final and proposed rules codifying previously issued no action relief and restoring consumer information privacy policies and procedures...
Mayer Brown
On June 25, 2020, the US Commodity Futures Trading Commission (CFTC) voted to withdraw its proposed Regulation AT—which sought to regulate automated trading in a broad fashion...
Sheppard Mullin Richter & Hampton
Join us on Tuesday, June 30th, for a one our program with our Partner and Chair of the French Desk, Valérie Demont, as she discusses the Main Street Lending Program.
Cadwalader, Wickersham & Taft LLP
IOSCO Report: Central Counterparty Default Management Auctions-Issues for Consideration.
Cadwalader, Wickersham & Taft LLP
The Federal Reserve Board ("FRB") reported results from the 2020 Dodd-Frank Act stress test (a/k/a "DFAST 2020").
Ropes & Gray LLP
ETF-related product development continues apace and the ETF regulatory landscape continues to evolve notwithstanding recent market volatility and the work-from-home environment.
Mayer Brown
An "at-the-market" ("ATM") offering is an offering of securities into an existing trading market for the securities at a price or prices related to the then-market price of the securities.
Mayer Brown
Nearly ten years after passage of the Dodd-Frank Act, the Supreme Court has finally put to bed the raging argument about whether it was constitutional for Congress to ...
Kramer Levin Naftalis & Frankel LLP
As highlighted in our previous alert, "Bank Debt Investments: The Importance of Distressed Protections as Risks of Default Rates Increase,"
Cadwalader, Wickersham & Taft LLP
A firm engaged in municipal securities transactions settled FINRA charges for reporting failures regarding the MSRB's Short-Term Obligation Transparency System.
Cadwalader, Wickersham & Taft LLP
Broker-Dealer Settles FINRA Charges for Disclosure and Reporting Failures.
Cadwalader, Wickersham & Taft LLP
FINRA requested that the SEC waive the 30-day post-filing date waiting requirement so that the proposed amendments would be effective on June 22, 2020.
Cadwalader, Wickersham & Taft LLP
The MSRB modified several rules to align with Regulation Best Interest.
Kramer Levin Naftalis & Frankel LLP
Many public and private market participants predict the economic effects of the COVID-19 crisis will be long term and widespread. In this regard...
Cadwalader, Wickersham & Taft LLP
On June 30, 2020, the Alternative Reference Rates Committee ("ARRC")1 published recommendations regarding more robust fallback language for new originations of U.S.
Cadwalader, Wickersham & Taft LLP
The CFTC adopted amendments to Form 8-R ("Individual Application") for CFTC/NFA registrations.
Cadwalader, Wickersham & Taft LLP
The Federal Reserve Board (the "FRB"), the FDIC, the OCC, the National Credit Union Administration and state financial regulators (collectively, the "Banking Agencies") provided guidance to examiners.
Cadwalader, Wickersham & Taft LLP
On June 23, 2020, the DOJ charged a Texas business owner with wire fraud, bank fraud and money laundering relating to the filing of fraudulent applications for Paycheck Protection Program ("PPP") loans.
Fenwick & West LLP
Let's start with a hypothetical: Tough Times, Inc. is in the market for another round of financing. By "in the market," we mean they have spoken to dozens of ventures funds
Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for failing to implement a supervisory system designed to protect customers in connection with the sale of "volatility-linked exchange-traded products".
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