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Cadwalader, Wickersham & Taft LLP
 
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By Cadwalader, Wickersham & Taft LLP
A registered futures commission merchant ("FCM") settled CFTC charges for engaging in prohibited noncompetitive, fictitious wash sales.
By Cadwalader, Wickersham & Taft LLP
FDIC Chair Jelena McWilliams encouraged greater collaboration between community banks and FinTech firms (or "FinTechs").
By Cadwalader, Wickersham & Taft LLP
The Office of the Comptroller of the Currency, the Federal Reserve Board and the FDIC (collectively, the "agencies") adopted a final rule to increase the major asset
By Robert Zwirb
A voice broker settled CFTC charges for (i) mishandling confidential customer information, (ii) failing to retain audio recordings of block trades and (iii) failing to supervise.
By Steven Lofchie
U.S. Representatives Carolyn B. Maloney (D-NY) and Patrick McHenry (R-NC) introduced a bill that would require all eight U.S.
By Steven Lofchie
The SEC proposed rescinding certain exceptions under Regulation NMS concerning fee changes to a national market system plan.
By Nihal Patel
The CFTC settled enforcement cases against six swap dealers that all involved reporting failures. In addition to the reporting failures
By Cadwalader, Wickersham & Taft LLP
The Treasury Department and the Federal Housing Finance Agency ("FHFA") agreed to modifications to the Preferred Stock Purchase Agreements ("PSPAs") ...
By Cadwalader, Wickersham & Taft LLP
A Luxembourg-based global agribusiness and a Minnesota-based global agribusiness settled CFTC charges separately (see here and here)...
By Cadwalader, Wickersham & Taft LLP
ISDA CEO Scott O'Malia called for specific changes to the current credit valuation adjustment ("CVA") capital framework, criticizing the requirements for not being appropriate or risk-sensitive.
By Robert Zwirb
A proprietary trading firm and its founder settled CFTC charges (see here and here) for engaging in spoofing.
By Cadwalader, Wickersham & Taft LLP
FINRA adopted rule amendments that eliminate certain requirements applicable to research reports on "covered investment funds," in accordance with the Fair Access to Investment Research Act of 2017 ("FAIR Act").
By Cadwalader, Wickersham & Taft LLP
OFAC extended the expiration dates of two Venezuela-related General Licenses to March 31, 2020.
By Robert Zwirb
The CFTC and the DOJ charged (see here and here) the principal of a cryptocurrency escrow company for making false statements to two customers
By Cadwalader, Wickersham & Taft LLP
OFAC designated multiple individuals and entities for their connection to a previously designated Russian-based agency and its financier
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