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Cadwalader, Wickersham & Taft LLP
 
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By Joseph F. Beach, Robert Cannon, David Gingold, Jason Halper, Gregg Jubin, Claire Puddicombe, David Quirolo, Nick Shiren, Nathan Spanheimer, Daniel Tobias, Neil Weidner, Peter Williams
On February 9, 2018, a three-judge panel of the U.S. Court of Appeals for the District of Columbia Circuit unanimously ruled in favor of the Loan Syndications and Trading Association ("LSTA") in its lawsuit against the Securities and Exchange Commission ("SEC") and the Board of Governors of the Federal Reserve System ("FRB") over the application of U.S. credit risk retention requirements to managers of open-market collateralized loan obligations ("CLOs").
By Cadwalader, Wickersham & Taft LLP
The finalized updates to the Consumer Financial Protection Bureau ("CFPB") rule on prepaid card accounts (the "Prepaid Rule") were published in the Federal Register.
By Cadwalader, Wickersham & Taft LLP
William Hinman, Director of the SEC Division of Corporation Finance (the "Division"), described approaches taken by the SEC to ease regulatory burdens in order to incentivize companies to go public.
By Cadwalader, Wickersham & Taft LLP
IOSCO issued a Consultation Report containing policy approaches to enhance protections for retail investors purchasing OTC leveraged products, including rolling-spot forex contracts, contracts for differences ("CFDs") and binary options.
By Kyle DeYoung
A broker-dealer agreed to pay approximately $4.5 million to settle SEC charges in connection with certain disclosures to customers regarding bond prices.
By Steven Lofchie
The White House proposed significant restructuring of the Consumer Financial Protection Bureau ("CFPB").
By Cadwalader, Wickersham & Taft LLP
The Delaware Court of Chancery granted defendants' motion to dismiss an action brought by minority unitholders of Trumpet Search, LLC ("Trumpet").
By Cadwalader, Wickersham & Taft LLP
The Federal Trade Commission ("FTC") requested a fiscal year 2019 budget of $306.3 million. This request is approximately the same as the agency's FY 2018 request.
By Cadwalader, Wickersham & Taft LLP
Chair of the Board of Governors of the Federal Reserve System ("FRB") Jerome H. Powell pledged to preserve the "essential" financial regulatory gains made ...
By Cadwalader, Wickersham & Taft LLP
The SEC requested a $1.658 billion budget for FY 2019. The request represents a 3.5 percent increase over the budget request for FY 2018.
By Cadwalader, Wickersham & Taft LLP
The CFTC requested a budget of $281.5 million for fiscal year 2019. This is the same amount requested in FY 2018 and a $31.5 million increase over the request in FY 2017.
By Kyle DeYoung
The SEC Division of Enforcement announced an initiative aimed at incentivizing firms to self-report violations of the federal securities laws relating to certain mutual fund ...
By Robert Zwirb
CFTC Commissioner Rostin Behnam provided his perspective on 2018 priorities for the Market Risk Advisory Committee ("MRAC").
By Cadwalader, Wickersham & Taft LLP
The proposed amendments to the examinations do not affect any FINRA rules or by-laws.
By Cadwalader, Wickersham & Taft LLP
The U.S. Department of the Treasury ("Treasury") released the new Treasury Strategic Plan outlining the long-term agency goals for the next five years. The strategic plan is published every four years.
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