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Cadwalader, Wickersham & Taft LLP
 
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By Cadwalader, Wickersham & Taft LLP
President Donald J. Trump nominated Kathleen Laura Kraninger to serve as Director of the Bureau of Consumer Financial Protection.
By Cadwalader, Wickersham & Taft LLP
The DOJ charged two former executives of a publicly traded transportation company with engaging in a multiyear accounting and securities fraud scheme.
By Cadwalader, Wickersham & Taft LLP
Weekly Roundup Of Exchange Rules By Category – June 15, 2018
By Cadwalader, Wickersham & Taft LLP
A bank agreed to pay $100 million to settle charges related to U.S. Dollar LIBOR ("USD LIBOR") manipulation. The matter was investigated by a working group ...
By Cadwalader, Wickersham & Taft LLP
FINRA will overhaul its registration and disclosure programs. The multi-phased project will improve, among other systems, the Central Registration Depository ...
By Steven Lofchie
The SEC Investor Advisory Committee considered recent SEC proposals that would (i) set a best interest standard for broker-dealers that provide investment advice to retail clients ...
By David Quirolo, Jeremiah Wagner, Neil Macleod
The Basel Committee on Banking Supervision (BCBS) and the International Organization of Securities Commissions (IOSCO) have issued criteria for identifying STC short-term securitisations.
By Cadwalader, Wickersham & Taft LLP
The Board of Governors of the Federal Reserve System ("FRB") approved a final rule to implement single-counterparty credit limits for U.S. bank holding companies and foreign banking organizations operating in the United States with $250 billion or more in total global consolidated assets.
By Christian Larson
SEC Division of Corporation Finance Director William Hinman asserted that Bitcoin and Ether are not "securities" under U.S. law.
By Kyle DeYoung
The U.S. House Financial Services Subcommittee on Capital Markets, Securities and Investment considered testimony on the SEC's approach to enforcing federal securities laws.
By Cadwalader, Wickersham & Taft LLP
In testimony before the House Financial Services Committee, Comptroller of the Currency Joseph Otting detailed key credit, interest rate, operational and compliance risks faced ...
By Cadwalader, Wickersham & Taft LLP
On June 11, 2018, the U.S. District Court for the Southern District of New York ("S.D.N.Y.") denied a Motion to Dismiss securities fraud claims ...
By Cadwalader, Wickersham & Taft LLP
The National Futures Association ("NFA") charged an introducing broker with failing to fully implement its anti-money laundering ("AML") program.
By Cadwalader, Wickersham & Taft LLP
FINRA proposed a rule change to extend the credit default swap ("CDS") margin pilot program in FINRA Rule 4240 to July 18, 2019.
By Cadwalader, Wickersham & Taft LLP
The CFTC requested public comment on a proposal to amend the swap dealer de minimis exception. Comments must be submitted by August 13, 2018.
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