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Cadwalader, Wickersham & Taft LLP
 
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By Robert Zwirb
In a "CFTC Talks" podcast interview conducted by CFTC Chief Market Intelligence Officer Andrew Busch
By Nihal Patel
FINRA published new guidance on various issues stemming from amendments made to FINRA Rule 4210 (margin) for "Covered Agency Transactions."
By Joseph Moreno
Under the proposal, credit reporting agencies would be obligated to register with the DFS.
By Cadwalader, Wickersham & Taft LLP
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of September 11 to September 15, 2017.
By Cadwalader, Wickersham & Taft LLP
FinCEN notified U.S. financial institutions that the Financial Action Task Force ("FATF") updated the list of jurisdictions with strategic deficiencies in combating anti-money laundering...
By Cadwalader, Wickersham & Taft LLP
In its first ever no-action letter, the Consumer Financial Protection Bureau ("CFPB") granted relief to an online lending platform from certain supervisory and enforcement actions with respect to...
By Steven Lofchie
CME Group announced that it will stop clearing credit defaults swaps by mid-2018.
By Cadwalader, Wickersham & Taft LLP
At a U.S. Senate Finance Committee (the "Committee") hearing, Committee leaders and industry experts debated recommendations for individual tax reform.
By Steven Lofchie
An investment services subsidiary of a bank agreed to settle SEC charges as to allegations that the firm improperly collected fees from clients.
By Cadwalader, Wickersham & Taft LLP
The MSRB published a concept proposal to request feedback from market participants on the primary offering practices of broker-dealers and municipal securities dealers.
By Cadwalader, Wickersham & Taft LLP
By a vote of 81-16, the United States Senate confirmed Kevin Allen Hassett as Chair of the Council of Economic Advisers.
By Robert Zwirb
CFTC Chair J. Christopher Giancarlo reiterated his prior remarks on global swaps regulation (see previous coverage of his speech in Switzerland and op-ed in French newspaper Les Échos).
By Steven Lofchie
The SEC Advisory Committee on Small and Emerging Companies (the "Committee") met to review the Final Report of the Committee.
By Cadwalader, Wickersham & Taft LLP
The Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, and the FDIC proposed amendments to their CRA regulations in response to recent changes...
By Cadwalader, Wickersham & Taft LLP
The North American Securities Administrators Association ("NASAA") encouraged investors to carefully evaluate the circumstances before choosing to invest in binary options.
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