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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.
By Cadwalader, Wickersham & Taft LLP
Federal Reserve Board Vice Chair Randal K. Quarles reviewed Financial Stability Board ("FSB") activity and raised issues that continue to affect the global financial system.
By Conor Almquist
In its annual Bank Supervision Operating Plan, the Office of the Comptroller of the Currency ("OCC") listed several key areas of focus for FY 2020.
By Lex Urban
The New York Attorney General's Office ("NYAG") launched an online whistleblower submission system to "attract, engage and protect whistleblowers."
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