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Searching Content by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
Reg. Tracker: October 1 To October 15, 2019
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines and effective dates. Click on the links below to view deadlines from October 1, 2019 to October 15, 2019.
United States
18 Oct 2019
2
CFTC DSIO Director Reviews Compliance And Supervisory Issues For 2020
CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") Director Joshua B. Sterling reviewed "key supervisory considerations" that will be addressed in the upcoming year.
United States
18 Oct 2019
3
Cross-Border Agreement Allows U.S. And UK Law Enforcement Expedited Access To Tech Company Data
U.S. Attorney General William P. Barr and UK Home Secretary Priti Patel entered into a cross-border agreement that "will dramatically speed up investigations by removing legal barriers
United States
18 Oct 2019
4
Finance Professor Analyzes Market Liquidity Event, Blames Clearing Mandates
University of Houston Finance Professor Craig Pirrong analyzed volatility in the U.S. overnight funding markets in mid-September.
United States
17 Oct 2019
5
NASAA Warns Millennials On Investment Scams
The North American Securities Administrators Association ("NASAA") provided informational resources to millennials on investing and avoiding scams
United States
17 Oct 2019
6
Federal Register: SEC Extends "Test-The-Waters" Accommodations To All Issuers
The SEC final rule allowing all issuers to engage in certain communications in a contemplated initial public offering was published in the Federal Register
United States
17 Oct 2019
7
FINRA Changes Method For Calculating Trade Reporting Fees
FINRA proposed updating the method for calculating trade reporting fees under FINRA Rule 7620B for broker-dealers using the FINRA/NYSE Trade Reporting Facility (the "FINRA/NYSE TRF").
United States
17 Oct 2019
8
FINRA Cautions Investors Of Risks In Trading Binary Options
FINRA cautioned investors on the risks associated with binary options and offered guidance on how to avoid certain frauds.
United States
17 Oct 2019
9
ISDA CEO Warns Of Potential Risks Relating To DTOs Post-Brexit
ISDA CEO Scott O'Malia highlighted potential issues affecting derivatives trading obligations following Brexit.
United States
17 Oct 2019
10
FDIC Chair Jelena McWilliams Appeals For FinTech Help
FDIC Chair Jelena McWilliams asked technology experts to join the agency and "reshape our supervisory approach in a rapidly evolving digital world."
United States
17 Oct 2019
11
FINRA To Issue Six New Rulemaking Proposals
Amendments to permit FINRA to publish aggregated TRACE volume data on transactions in U.S. Treasury Securities.
United States
17 Oct 2019
12
Company Settles Potential Civil Liability For Violations Of Cuban Assets Control Regulations
A Boston-based company (the "Company") settled potential civil liability on behalf of three of its current and former subsidiaries for alleged violations...
United States
16 Oct 2019
13
Federal Register: SEC Proposes To Update Bank Holding Company Statistical Disclosure Requirements
The SEC proposal to (i) update the statistical disclosures for bank and savings and loan registrants and (ii) eliminate redundant disclosures was published in the Federal Register.
United States
14 Oct 2019
14
Broker-Dealer Settles FINRA Charges For Short Positions In Municipal Securities Failures
A broker-dealer settled FINRA charges for failing to implement an adequate supervisory system to address short positions in tax-exempt municipal bonds.
United States
14 Oct 2019
15
Interdealer Brokers Settle CFTC And NYAG Charges For Fraudulent FX Options
Two interdealer brokers ("IDBs") settled separate New York Attorney General ("NYAG") and CFTC charges for fraudulent practices involving foreign exchange currency options.
United States
14 Oct 2019
16
FRB Vice Chair Randal Quarles Reviews FSB Activity
Federal Reserve Board Vice Chair Randal K. Quarles reviewed Financial Stability Board ("FSB") activity and raised issues that continue to affect the global financial system.
United States
14 Oct 2019
17
OCC Lists Bank Supervision Priorities For FY 2020
In its annual Bank Supervision Operating Plan, the Office of the Comptroller of the Currency ("OCC") listed several key areas of focus for FY 2020.
United States
14 Oct 2019
18
N.Y. AG Launches Online "Whistleblower Portal"
The New York Attorney General's Office ("NYAG") launched an online whistleblower submission system to "attract, engage and protect whistleblowers."
United States
14 Oct 2019
19
CFTC Commissioners Consider Regulatory Compliance Issues And Technology Solutions
At the CFTC Technology Advisory Committee ("TAC") meeting, CFTC Commissioner and Committee Chair Brian Quintenz
United States
14 Oct 2019
20
FCM Settles CFTC Charges For Engaging In Prohibited Wash Transactions
A registered futures commission merchant ("FCM") settled CFTC charges for engaging in prohibited noncompetitive, fictitious wash sales.
United States
11 Oct 2019
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