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By Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines and effective dates. Click on the links below to view deadlines from October 1, 2019 to October 15, 2019.
By Cadwalader, Wickersham & Taft LLP
CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") Director Joshua B. Sterling reviewed "key supervisory considerations" that will be addressed in the upcoming year.
By Joseph Moreno, Steven Lofchie
U.S. Attorney General William P. Barr and UK Home Secretary Priti Patel entered into a cross-border agreement that "will dramatically speed up investigations by removing legal barriers
By Robert Zwirb
University of Houston Finance Professor Craig Pirrong analyzed volatility in the U.S. overnight funding markets in mid-September.
By Cadwalader, Wickersham & Taft LLP
The North American Securities Administrators Association ("NASAA") provided informational resources to millennials on investing and avoiding scams
By Cadwalader, Wickersham & Taft LLP
The SEC final rule allowing all issuers to engage in certain communications in a contemplated initial public offering was published in the Federal Register
By Cadwalader, Wickersham & Taft LLP
FINRA proposed updating the method for calculating trade reporting fees under FINRA Rule 7620B for broker-dealers using the FINRA/NYSE Trade Reporting Facility (the "FINRA/NYSE TRF").
By Cadwalader, Wickersham & Taft LLP
FINRA cautioned investors on the risks associated with binary options and offered guidance on how to avoid certain frauds.
By Cadwalader, Wickersham & Taft LLP
ISDA CEO Scott O'Malia highlighted potential issues affecting derivatives trading obligations following Brexit.
By Cadwalader, Wickersham & Taft LLP
FDIC Chair Jelena McWilliams asked technology experts to join the agency and "reshape our supervisory approach in a rapidly evolving digital world."
By Cadwalader, Wickersham & Taft LLP
Amendments to permit FINRA to publish aggregated TRACE volume data on transactions in U.S. Treasury Securities.
By Cadwalader, Wickersham & Taft LLP
A Boston-based company (the "Company") settled potential civil liability on behalf of three of its current and former subsidiaries for alleged violations...
By Cadwalader, Wickersham & Taft LLP
The SEC proposal to (i) update the statistical disclosures for bank and savings and loan registrants and (ii) eliminate redundant disclosures was published in the Federal Register.
By Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for failing to implement an adequate supervisory system to address short positions in tax-exempt municipal bonds.
By Cadwalader, Wickersham & Taft LLP
Two interdealer brokers ("IDBs") settled separate New York Attorney General ("NYAG") and CFTC charges for fraudulent practices involving foreign exchange currency options.
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