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Cadwalader, Wickersham & Taft LLP
The op-ed is a nice signal from the regulators that they are looking to get past previous disagreements over cross-border supervision of clearinghouses.
United States
Shearman & Sterling LLP
The CFTC has adopted a final rule to prohibit the controversial practice of post-trade name give-up for swaps that are executed anonymously through a Swap Execution Facility (SEF) and are...
Holland & Knight
The Board of Governors of the Federal Reserve System and the Federal Reserve Bank of New York convened the Alternative Reference Rates Committee in 2014 to develop an alternative rate and conversion methodology ...
Cadwalader, Wickersham & Taft LLP
The corrections, among other things, conform the amendatory text with the Supplementary Information of the rule.
Cadwalader, Wickersham & Taft LLP
The FTC proposal to clarify that Parts 642 and 698 under the Fair Credit Reporting Act apply only to motor vehicle dealers was published in the Federal Register.
Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for failing to develop and implement a sufficient supervisory system over sales of non-traditional exchange traded products,
Morrison & Foerster LLP
Earlier this year, the California Department of Business Oversight (DBO) issued a draft rulemaking relating to the scope of the agent of a payee exemption (the "Exemption")...
Cadwalader, Wickersham & Taft LLP
FINRA issued this rule proposal in order to ensure that there are no discrepancies in the data provided to the CAT and to FINRA.
Cadwalader, Wickersham & Taft LLP
The CFTC proposed a supplement to an existing proposal to amend its regulations governing commodity broker bankruptcies.
Cadwalader, Wickersham & Taft LLP
As a further condition of eligibility, the non-U.S. DCO must not pose a "substantial risk to the U.S. financial system."
Cadwalader, Wickersham & Taft LLP
The CFTC adopted revisions to Part 43 of its rules governing real-time public reporting requirements.
Cadwalader, Wickersham & Taft LLP
The CFTC also issued a supplemental notice of proposed rulemaking to withdraw certain proposed Part 190 bankruptcy rules concerning bankruptcy proceedings of commodity brokers.
Cadwalader, Wickersham & Taft LLP
Credit risk to an intermediary is a real concern.
Mayer Brown
On September 15, 2020, the CFPB published a detailed outline of proposed options it is considering to implement a rule under Section 1071 of the Dodd Frank Act.
Cadwalader, Wickersham & Taft LLP
NFA's extension follows similar no-action relief by the CFTC.
Withers LLP
As we discussed in an earlier article, DeFi stands for decentralized finance. DeFi is a cryptocurrency movement designed to offer traditional financial products and services without the...
Seyfarth Shaw LLP
Section 1061 of the Internal Revenue Code of 1986, as amended (the "Code"), increases the holding period required for long-term capital gain upon the sale of an "applicable partnership...
Cadwalader, Wickersham & Taft LLP
The CFTC Division of Market Oversight ("DMO") granted no-action relief to a swap execution facility ("SEF") from the requirement to reinstate its registration following a "dormant" period.
Cadwalader, Wickersham & Taft LLP
SEC Enforcement Trends: Accounting and Financial Disclosures
Ropes & Gray LLP
In this Ropes & Gray podcast, asset management partner Jason Kolman and counsel Jessica Marlin discuss the reasons for the increase in credit managers offering both open- ...
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