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By Cadwalader, Wickersham & Taft LLP
Click on the links to view SEC notices of exchange rule changes and proposals for the week of April 16 to April 20, 2018.
By Cadwalader, Wickersham & Taft LLP
The SEC filed additional fraud charges in connection with the recently shut down Centra Tech, Inc. ("Centra") initial coin offering.
By Cadwalader, Wickersham & Taft LLP
FINRA proposed amending its existing anti-money laundering ("AML") requirements to explicitly require ongoing customer due diligence, consistent with the May 11, 2018 effective date...
By Steven Lofchie
FINRA proposed extending the effective date for certain amendments to FINRA Rule 4210 to March 25, 2019.
By Cadwalader, Wickersham & Taft LLP
CFTC Grants CPO Relief From Annual Report Filing Requirement
By Cadwalader, Wickersham & Taft LLP
Board of Governors of the Federal Reserve System ("FRB") Governor Lael Brainard urged the FRB and banking institutions to "safeguard" capital and liquidity protections as cyclical pressures increase.
By Steven Lofchie
The U.S. Senate voted to repeal Consumer Financial Protection Bureau ("CFPB") regulatory guidance on auto-loan financing, which purported to regulate discriminatory dealer markups on car loans to consumers.
By Christian Larson
A former Venezuelan official admitted to soliciting and receiving bribes from owners of certain U.S. energy companies. The official pleaded guilty to one count of conspiracy to commit money laundering.
By Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, compliance dates, and effective dates.
By Cadwalader, Wickersham & Taft LLP
MSRB reminded brokers, dealers and municipal securities dealers ("dealers") of their investor protection obligations regarding transactions in the municipal securities of distressed municipalities.
By Cadwalader, Wickersham & Taft LLP
Republican and Democratic Senators from the Committee on Agriculture sent a letter to Treasury Secretary Steven Mnuchin urging the Committee on Foreign Investment ...
By Steven Lofchie
The SEC proposed to (i) require broker-dealers to act in the "best interests" of retail customers when making a recommendation of any securities transaction ...
By Cadwalader, Wickersham & Taft LLP
Mr. Berkovitz was nominated to serve the remainder of a five-year term.
By Cadwalader, Wickersham & Taft LLP
The agencies' proposal will ease the adjustment process for banking organizations that adopt the new accounting standards.
By Cadwalader, Wickersham & Taft LLP
Federal Reserve Bank of New York Executive Vice President and General Counsel Michael Held shared his concerns about "excessive formalism" and rigid reliance on the standard risk management model.
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