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Searching Content indexed under Charges, Mortgages, Indemnities by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
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
2
CFPB Extends Comment Deadline On HMDA Data Point Information
The CFPB extended the comment period for information concerning the costs and benefits of certain data reporting points under the Home Mortgage Disclosure Act
United States
11 Jul 2019
3
Broker-Dealer Settles FINRA Charges Of Initial Margin Interest Rate Disclosure Failures
A broker-dealer agreed to pay $250,000 to settle FINRA charges that it failed to provide customers with initial margin interest rate disclosures under Exchange Act Rule 10b-16
United States
11 Jul 2019
4
Bank Settles SEC Charges In Connection With Hidden Fees
A bank settled SEC charges in connection with overcharging mutual funds and registered investment company clients for expenses relating to the custody of client assets.
United States
11 Jul 2019
5
Firm Settles CFTC Spoofing Charges
A financial institution settled CFTC charges of spoofing, manipulation and the attempted manipulation of certain precious metals futures contracts.
United States
9 Jul 2019
6
Broker-Dealer Settles FINRA Charges For Failing To Maintain Supervisory System For Mutual Fund Switches
A broker-dealer agreed to pay $75,000 to settle FINRA charges for failing to sufficiently monitor mutual fund switches.
United States
8 Jul 2019
7
House Democrats Criticize Proposed Changes To HMDA Rules
Sixty-five Democratic representatives called on CFPB Director Kathy Kraninger to rescind a recent proposal that would reduce the amount of lending information collected under the Home Mortgage
United States
26 Jun 2019
8
Mortgage Servicer Settles CFPB Charges For Violating TILA, CFPA And RESPA
BSI Financial Services ("BSI"), a mortgage servicer, agreed to settle CFPB charges for violating the Truth in Lending Act.
United States
14 Jun 2019
9
Senate Banking Committee Considers Framework For Housing Reform Legislation
The U.S. Senate Committee on Banking, Housing and Urban Affairs (the "Committee") heard testimony from various witnesses on Chair Mike Crapo's (R-IA) proposed framework for housing reform legislation.
United States
9 Apr 2019
10
Broker-Dealer Settles Inadequate Supervision And Related Charges
A broker-dealer agreed to settle FINRA charges for multiple violations including providing inaccurate statements ...
United States
19 Mar 2019
11
FHFA Issues Rule On Uniform Mortgage-Backed Securities
The Federal Housing Finance Agency ("FHFA") issued a final rule intended to improve the liquidity of Fannie Mae and Freddie Mac To-Be-Announced ("TBA") ...
United States
19 Mar 2019
12
CFPB Provides Semi-Annual Report To Congress
The Consumer Financial Protection Bureau ("CFPB") provided its semi-annual report to Congress.
United States
21 Feb 2019
13
Commercial Mortgage Alert Ranks Cadwalader Number-One Law Firm For Work On Commercial MBS Offerings
Commercial Mortgage Alert ranked Cadwalader as the number-one law firm for advising both issuers and underwriters on commercial mortgage-backed securities.
United States
15 Feb 2019
14
CFPB Notifies Servicemembers Of New Mortgage And Credit Protections
The Consumer Financial Protection Bureau ("CFPB") notified servicemembers of new protections and a veterans alert.
United States
15 Feb 2019
15
Cadwalader Adds Real Estate Finance Partner To London Office
Duncan Hubbard, a leader in advising financial institutions, funds and alternative lenders on European and U.S. real estate investments and structured finance transactions ...
United States
30 Jan 2019
16
Mortgage Loan Servicer Settles NYDFS Charges For Vacant And Abandoned Property Law Violations
A mortgage loan servicer agreed to pay a $100,000 fine to settle charges, brought by the New York State Department of Financial Services ("NYDFS") for failure to register ...
United States
23 Jan 2019
17
CFPB Assesses ATR/QM And RESPA Mortgage Servicing Rules
In two new reports, the Consumer Financial Protection Bureau ("CFPB") assessed the impact of the Ability to Repay / Qualified Mortgage ("ATR/QM") Rule and the Real Estate Settlement Procedures Act ("RESPA") Mortgage Servicing Rule.
United States
21 Jan 2019
18
Reg. Tracker: January 1 To January 15, 2019
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, effective dates, compliance dates and expiration dates. Click on the links below to view deadlines from January 1, 2019 to January 15, 2019.
United States
8 Jan 2019
19
Agencies Raise Exemption Thresholds For Mortgage Loans
The Federal Reserve Board, the Consumer Financial Protection Bureau and the Office of the Comptroller of the Currency issued a final rule and interpretations on threshold exemptions...
United States
30 Nov 2018
20
U.S. District Court Grants SEC Motion To Dismiss Charges Against Mortgage Bond Trader
The U.S. District Court of the District of Connecticut granted the SEC's Motion to Dismiss an enforcement action against a brokerage firm and global investment bank trader for allegedly lying...
United States
21 Nov 2018
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