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Cadwalader, Wickersham & Taft LLP
 
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By Cadwalader, Wickersham & Taft LLP
Based on data from the Bank for International Settlements, ISDA found that OTC derivatives notional outstanding went up during the first half of 2018.
By Cadwalader, Wickersham & Taft LLP
The SEC approved amendments to FINRA's customer and industry arbitration rules concerning arbitration honorariums.
By Cadwalader, Wickersham & Taft LLP
The CFTC proposal to amend Rule 160.5 - which requires certain "covered persons" to provide annual privacy notices to customers at least once a year during the life of the customer relationship - was published in the Federal Register.
By Cadwalader, Wickersham & Taft LLP
The U.S. Department of the Treasury Office of Foreign Assets Control ("OFAC") extended the expiration date of certain General Licenses concerning companies on the Specially Designated Nationals and Blocked Persons list.
By Cadwalader, Wickersham & Taft LLP
The Federal Reserve Board and Consumer Financial Protection Bureau (collectively, the "agencies") proposed amendments (the "2018 proposal") to Regulation CC, which implements the Expedited Funds Availability Act ("EFA Act").
By Steven Lofchie
Based on the results of its Tick Size Pilot Program (the "Pilot"), the SEC found that increasing the tick size for certain small capitalization stocks did not affect stock prices.
By Conor Almquist
Three broker-dealers agreed to settle SEC charges for failing to submit complete and accurate securities trading information on electronic blue sheets.
By Joseph Moreno
SEC Chair Jay Clayton, SEC Chief Accountant Wesley Bricker and Public Company Accounting and Oversight Board ("PCAOB") Chair William D. Duhnke III raised concerns about foreign markets that restrict access to information about U.S.-listed companies operating overseas.
By Cadwalader, Wickersham & Taft LLP
CFTC is alleging that apples and oranges are the same, and that if you bid or offer apples at a price different than the market price for oranges, you are manipulating.
By Cadwalader, Wickersham & Taft LLP
A financial investment firm agreed to pay $425,000 to settle charges for impeding a Chicago Mercantile Exchange investigation.
By Cadwalader, Wickersham & Taft LLP
The CFTC Division of Swap Dealer and Intermediary Oversight exempted a futures commission merchant from certain audited financial reports requirements.
By Cadwalader, Wickersham & Taft LLP
She also worked for the House Committee on Appropriations and the Senate Committee on Appropriations.
By Robert Zwirb
Five traders agreed to settle Chicago Mercantile Exchange "spoofing" charges.
By Cadwalader, Wickersham & Taft LLP
The Alternative Reference Rates Committee ("ARRC") published two consultations on U.S. dollar (USD) LIBOR fallback contract language for bilateral business loans and securitizations.
By Cadwalader, Wickersham & Taft LLP
In remarks at the 2018 Municipal Securities Disclosure Conference, SEC Office of Municipal Securities Director Rebecca Olsen and Commissioner Kara M. Stein outlined the two different approaches they believe the SEC should take to improve the municipal issuer disclosures.
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