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Searching Content indexed under Finance and Banking by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
FDIC Proposes Amending Interest Rate Restrictions For Less Than "Well Capitalized" Institutions
The FDIC proposed amending the interest rate restrictions for insured depository institutions ("IDIs") that are less than "well capitalized" (i.e., any IDI that does not significantly exceed
United States
23 Aug 2019
2
SIFMA Recommends Updates To MSRB Rules On Ethical Standards
In response to an MSRB retrospective rule review, SIFMA recommended clearing up ambiguities within existing regulations concerning ethical standards for financial advisors.
United States
23 Aug 2019
3
OCC and FDIC Approve Interagency Final Rule Amending Volcker Rule
The Office of the Comptroller of the Currency ("OCC") and the FDIC approved an interagency final rule simplifying certain aspects of existing regulations
United States
23 Aug 2019
4
Volcker Rule Topic Page Now Available On The Cabinet (Video)
The Volcker Rule Topic Page helps financial institutions keep current on legal and regulatory issues concerning the Volcker Rule
United States
23 Aug 2019
5
FINRA Recaps Monthly Disciplinary Actions - August 2019
In its August disciplinary report, FINRA recapped actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities
United States
23 Aug 2019
6
SEC Grants Exemptive Relief To ETF From Tender Offer Rules
The SEC Division of Corporation Finance Office of Mergers and Acquisitions granted no-action relief to an exchange-traded fund ("ETF") from requirements under SEA Rule 14e-5
United States
23 Aug 2019
7
FINRA Elects Four New Governors
FINRA elected four new governors to the agency's Board of Governors. The new governors begin their three-year terms effective immediately.
United States
22 Aug 2019
8
CFPB Proposes Settlement In Connection With High-Interest Credit Offers
The CFPB and the State of Arkansas proposed a settlement in the United States District Court, Eastern District of Arkansas, against brokers for violations of the Consumer Financial
United States
22 Aug 2019
9
Broker-Dealers Settle Charges For Misuse Of Pre-Released ADRs
Two broker-dealers settled separate SEC charges (see here and here) for improperly obtaining the pre-release of American Depositary Receipts ("ADRs") that the firms should
United States
22 Aug 2019
10
NYDFS Grants Charter For Trust Company To Custody Bitcoin
The New York State Department of Financial Services ("NYDFS") approved the application of a trust company to act as a custodian for Bitcoin.
United States
22 Aug 2019
11
FINRA Reminds Firms Of Potential Municipal Advisor Registration Obligations
In newly issued guidance, FINRA reminded firms doing business with municipalities to implement appropriate supervisory procedures to avoid conducting unregistered municipal advisory activities.
United States
21 Aug 2019
12
Use Cabinet Alerts For Regulatory Change Management (Video)
Regulatory change increases overhead expense for financial institutions. The Cabinet "Alerts" tool allows firms and individuals to track regulatory
United States
20 Aug 2019
13
CME Group Issues Fines And Suspension For Trade Practice Violations
CME issued fines and suspensions against two brokers and a futures brokerage firm for separate trade practice violations.
United States
20 Aug 2019
14
Reg. Tracker: August 16 To August 31 (2019)
The Cabinet Regulatory Tracker is a list of comment deadlines, compliance dates, effective dates and delayed actions.
United States
19 Aug 2019
15
Federal Register: SEC Codifies Exemption To Rating Agency Disclosure Obligations
Federal Register: SEC Codifies Exemption to Rating Agency Disclosure Obligations.
United States
19 Aug 2019
16
FINRA Fines Broker-Dealer For Failing To Qualify Traders
A broker-dealer settled FINRA charges for failing to ensure that certain equity traders had passed appropriate FINRA qualification examinations
United States
16 Aug 2019
17
FINRA Charges Former Registered Representatives With Failure To Report Outside Business Activities
In a FINRA disciplinary proceeding, the Department of Enforcement alleged that two former general securities representatives failed to report private securities transactions and outside business activities ("OBAs").
United States
16 Aug 2019
18
Trade Associations Comment On CCP Default Management Auctions
Several trade associations provided feedback on key areas of central counterparty ("CCP") default management auctions.
United States
15 Aug 2019
19
Federal Register: FRB Will Upgrade U.S. Payment System To Provide Interbank Settlements In Real Time
The Federal Reserve Board ("FRB") will upgrade the U.S. payment system to provide payment-by-payment interbank settlements in real time
United States
14 Aug 2019
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