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By Cadwalader, Wickersham & Taft LLP
FINRA's proposal amending Rule 5110 ("Corporate Financing Rule - Underwriting Terms and Arrangements") to make "substantive, organizational and terminology" changes was published in the Federal Register.
By Robert Zwirb
The CFTC summarized the results of a reverse stress test and a liquidation stress test of central counterparties ("CCPs").
By Cadwalader, Wickersham & Taft LLP
In testimony before the U.S. House Committee on Agriculture, CFTC Chair J. Christopher Giancarlo described the agency's efforts to achieve "balanced market oversight."
By Cadwalader, Wickersham & Taft LLP
The U.S. Treasury Department ("Treasury") clarified the Opportunity Zone tax incentive through a second set of proposed regulations.
By Christian Larson
The DOJ petitioned the U.S. District Court for the Western District of North Carolina to authorize IRS summonses to uncover the identities of Finnish residents using U.S.-issued payment cards in Finland.
By Cadwalader, Wickersham & Taft LLP
The SEC Office of Investor Education and Advocacy and the CFTC Office of Customer Education and Outreach warned investors about fraud on digital assets and cryptocurrency trading websites.
By Cadwalader, Wickersham & Taft LLP
OFAC sanctioned one current and one former official of the Venezuelan government for their connection to the Maduro regime.
By Cadwalader, Wickersham & Taft LLP
A trucking company agreed to settle DOJ and SEC accounting fraud charges for filing false and misleading statements with investors and falsifying its books and records.
By Cadwalader, Wickersham & Taft LLP
OFAC adopted regulations that would permit the use of sanctions against foreign persons found interfering in U.S. elections, pursuant to Executive Order 13848.
By Cadwalader, Wickersham & Taft LLP
The CFTC notified a British-Swiss commodities trading and mining firm that its organization and its subsidiaries are under investigation for violations of the Commodity Exchange Act (CEA)
By Robert Zwirb
As a part of its comprehensive review of swap data reporting regulations, the CFTC approved a proposal intended to improve "the quality of swap data" and the swap data repository (SDR) operations
By Matthew Feig, Robert Cannon
On April 24, 2019, the Florida Legislature passed a bill (the "Act")1 to reform the requirements for the assignment of benefits of claims for residential and commercial property insurance.
By Cadwalader, Wickersham & Taft LLP
An CFTC final rule allowing exceptions from the requirement that "covered persons" (i.e., futures commission merchants, retail foreign exchange dealers, CTAs, CPOs,
By Cadwalader, Wickersham & Taft LLP
The SEC named the inaugural members of the newly formed Small Business Capital Formation Advisory Committee.
By Cadwalader, Wickersham & Taft LLP
FINRA proposed updating its Manual to reflect the new FINRA subsidiary, FINRA CAT LLC, an entity designed to further FINRA's compliance "with respect to the creation,
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