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Searching Content by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
CFTC Registers Virtual Currency DCO And Grants Related No-Action Relief
The CFTC granted Eris Clearing, LLC ("Eris") registration as a derivatives clearing organization ("DCO") to clear fully collateralized virtual currency futures.
United States
17 Jul 2019
2
Broker-Dealer Settles FINRA Charges For Failing To Supervise Representatives' Trading Activity
A broker-dealer settled FINRA charges for failing to adequately supervise the suitability of registered representatives' trading activity
United States
16 Jul 2019
3
FRB Adopts Final Rule Delegating Certain Authority To Federal Reserve Banks
The Federal Reserve Board adopted rule amendments that delegate the authority to approve certain types of applications, notices and requests to Federal Reserve Banks.
United States
16 Jul 2019
4
OFAC Sanctions Cuban Oil Company For Importing Venezuelan Oil
OFAC designated the Cuban state-run oil import and export company pursuant to Executive Order 13850 for its continued importation of oil from Venezuela.
United States
16 Jul 2019
5
CFTC Advises Public To Avoid Unregistered Brokers And Advisers On Social Media Platforms
The CFTC advised the public to avoid unregistered brokers and advisers promoting their services on social media platforms.
United States
16 Jul 2019
6
CFTC Awards Whistleblowers Approximately $2 Million
The CFTC awarded two whistleblowers approximately $2 million for information that led to a CFTC investigation
United States
16 Jul 2019
7
Federal Register: FRB And CFPB Adopt Amendments To Adjust Funds Availability For Inflation
The Federal Reserve Board and the CFPB final rule to implement a requirement for certain dollar amounts and thresholds to be inflation-adjusted periodically under Regulation CC
United States
16 Jul 2019
8
SEC Names Chief Accountant
The SEC named Sagar Teotia as Chief Accountant, following the departure of Wesley R. Bricker. Mr. Teotia was previously serving as Acting Chief Accountant.
United States
16 Jul 2019
9
CFTC Extends Comment Deadline Regarding Changes To DCO Regulations
The comment deadline for a CFTC proposal amending derivatives clearing organization ("DCO") regulations was extended from July 15, 2019 until September 13, 2019.
United States
16 Jul 2019
10
Federal Register: FTC Adopts Rules Implementing Free Credit Monitoring For Active-Duty Military Consumers
The FTC adoption of several rules that will require nationwide consumer reporting agencies ("CRAs") to provide a free electronic credit monitoring service to active-duty military consumers
United States
16 Jul 2019
11
NASAA Names President-Elect
The North American Securities Administrators Association ("NASAA") named Christopher W. Gerold as its new President-elect.
United States
16 Jul 2019
12
FINRA Recaps Monthly Disciplinary Actions - July 2019
In its monthly report, FINRA recapped disciplinary actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws and rules.
United States
15 Jul 2019
13
SEC Adopts Revisions To EDGAR Filer Manual
The SEC adopted revisions to the Electronic Data Gathering, Analysis and Retrieval System ("EDGAR") Filer Manual and the associated rule under Reg. S-T.
United States
15 Jul 2019
14
SEC Commissioner Peirce Criticizes Efforts To Mandate Representation Of Women On Corporate Boards
SEC Commissioner Hester M. Peirce criticized efforts that would mandate gender requirements for the boards of public companies.
United States
12 Jul 2019
15
SEC Approves Amendments To MSRB Rules On Primary Offering Practices
The SEC approved amendments to MSRB Rule G-11 ("Primary Offering Practices") and MSRB Rule G-32 ("Disclosures in Connection with Primary Offerings")
United States
12 Jul 2019
16
FINRA Proposes Publishing Additional OTC Equity Trading Volume Data
FINRA proposed amending Rules 6110 ("Trading Otherwise Than on an Exchange") and 6610 ("General") to expand the summary firm data that FINRA publishes on its website regarding OTC equity trading.
United States
12 Jul 2019
17
FDIC Chair Provides Resolution Planning Updates
FDIC Chair Jelena McWilliams highlighted recent regulatory developments and additional work concerning resolution planning for large institutions in a cross-border context.
United States
12 Jul 2019
18
FINRA Reports On Use Of Fines-Eligible Funds
FINRA reported the total amount that it issued in fines as well as the amount in fines-eligible expenditures in 2018.
United States
11 Jul 2019
19
Broker-Dealer Settles FINRA Charges Of Violating Order Protection Rule
A broker-dealer settled FINRA charges of failure to prevent trade-throughs of protected quotations in national market system ("NMS") stocks
United States
11 Jul 2019
20
OFAC Designates Nicolas Maduro's Son
OFAC designated the son of Venezuelan leader Nicolas Maduro Moros for contributing to the ongoing crisis in Venezuela.
United States
11 Jul 2019
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