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By Cadwalader, Wickersham & Taft LLP
The comment deadline for a CFTC proposal amending swap data reporting regulations was extended from October 28, 2019 to January 27, 2020.
By Joel Mitnick, Ngoc Hulbig
On November 6, 2019, the Federal Trade Commission ("FTC") voted 5-0 to uphold Administrative Law Judge D. Michael Chappell's
By Cadwalader, Wickersham & Taft LLP
A FINRA proposal to delay, from March 25, 2020 to March 25, 2021, the implementation date of rule amendments on margin requirements for Covered Agency
By Cadwalader, Wickersham & Taft LLP
U.S. prudential regulators proposed rule amendments governing margin requirements for uncleared swaps and security-based swaps.
By Cadwalader, Wickersham & Taft LLP
NFA permanently banned from membership a CPO and CTA for failing to produce books and records for two of the CPO/CTA's principals and its majority owner
By Steven Lofchie
SEC Division of Enforcement Co-Director Stephanie Avakian described measures taken by the Division to protect retail investors and address share class disclosure issues.
By Cadwalader, Wickersham & Taft LLP
At an SEC Investor Advisory Committee meeting, SEC Chair Jay Clayton highlighted several areas of regulatory focus, including (i) improving environmental, social and governance ("ESG")
By Robert Zwirb
At a CFTC Energy and Environmental Markets Advisory Committee meeting, panelists described challenges that the diversification of energy generation
By Cadwalader, Wickersham & Taft LLP
OFAC updated several general licenses concerning Venezuela and the Turkish invasion of Syria.
By Kyle DeYoung
In its 2019 Annual Report, the SEC Division of Enforcement highlighted efforts to protect retail investors and combat cyber threats.
By Steven Lofchie
IOSCO concluded that "a case-by-case approach is needed to establish which IOSCO Principles and Standards, and national regulatory regimes"
By Cadwalader, Wickersham & Taft LLP
AT&T Mobility, LLC settled FTC charges for reducing the data speeds (i.e., "throttling") of certain "unlimited" mobile data plans without adequate disclosure in violation of Section 5
By Nihal Patel
The CFTC approved (i) three foreign board of trade applications submitted by European entities and (ii) technical corrections to Part 160 data privacy rules.
By Steven Lofchie
The SEC proposed amending advertising and solicitation rules under the Investment Advisers Act of 1940 (the "Advisers Act"). The proposed rule changes
By Cadwalader, Wickersham & Taft LLP
A FinCEN final rule imposing strict prohibitions on the access of Iranian financial institutions to the U.S. financial system was published in the Federal Register.
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