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By Cadwalader, Wickersham & Taft LLP
CFTC Commissioners proposed revisions to CFTC Public Rulemaking Procedures ("Part 13 Amendments") in its "Final Rule on Public Rulemaking
By Cadwalader, Wickersham & Taft LLP
CFTC Commissioners adopted amendments to the Position Limits and Position Accountability for Security Futures Products ("SFP").
By Steven Lofchie
SEC Chair Jay Clayton highlighted the agency's commitment to ensuring that the public securities markets work in a fair
By Joseph Moreno
Witnesses before the House Financial Services Committee Task Force (the "Task Force") on Artificial Intelligence provided testimony
By Cadwalader, Wickersham & Taft LLP
The CFPB's revised policy guidance on no-action letters, on the CFPB Product Sandbox and on the Trial Disclosure Program was published in the Federal Register.
By Cadwalader, Wickersham & Taft LLP
At its September 9, 2019 public meeting, the CFTC Market Risk Advisory Committee approved a "plain English" set of disclosures for new derivatives contracts
By Cadwalader, Wickersham & Taft LLP
An interdealer broker settled two separate CFTC charges for making false or misleading statements to its customers and to CFTC investigators.
By Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for delaying the disclosure of alleged employee misconduct. As summarized in the Letter of Acceptance, Waiver and Consent ("AWC"), the broker-dealer
By Cadwalader, Wickersham & Taft LLP
In a speech at the Georgetown University Law Center, FTC Office of Policy Planning Director Bilal Sayyed
By Cadwalader, Wickersham & Taft LLP
The MSRB proposed a rule change that would increase the professional fee for municipal advisors. The assessment fee charged under MSRB Rule A-11 for each municipal advisor
By Cadwalader, Wickersham & Taft LLP
An SEC proposal to facilitate the implementation of the Consolidated Audit Trail ("CAT") was published in the Federal Register. Comments on the proposal must be submitted by October 28, 2019.
By Cadwalader, Wickersham & Taft LLP
A chief compliance officer of an investment firm settled CFTC charges for fraudulently soliciting investments in commodity pools
By Cadwalader, Wickersham & Taft LLP
The SEC charged an investment advisory firm and its principal and sole owner for defrauding advisory clients.
By Cadwalader, Wickersham & Taft LLP
OFAC sanctioned three North Korean state-sponsored cyber groups for engaging in malicious cyber activities against critical infrastructure.
By Cadwalader, Wickersham & Taft LLP
The Financial Accounting Standards Board ("FASB") requested comments on a proposed "Accounting Standards Update" aimed at easing potential accounting burdens on loan market participants
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