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Searching Content by Cadwalader, Wickersham & Taft LLP from Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
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
2
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
3
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
4
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
5
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
6
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
7
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
8
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
9
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
10
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
11
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
12
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
13
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
14
FDIC Chair Jelena McWilliams Encourages Greater Collaboration Between Community Banks And FinTechs
FDIC Chair Jelena McWilliams encouraged greater collaboration between community banks and FinTech firms (or "FinTechs").
United States
11 Oct 2019
15
Agencies To Raise Asset Thresholds For Management Interlock Rules
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
United States
11 Oct 2019
16
Treasury And FHFA Agree To Modify Fannie Mae And Freddie Mac Preferred Stock Purchase Agreements
The Treasury Department and the Federal Housing Finance Agency ("FHFA") agreed to modifications to the Preferred Stock Purchase Agreements ("PSPAs") ...
United States
10 Oct 2019
17
Global Agribusinesses Settle CFTC Charges For Reporting Violations
A Luxembourg-based global agribusiness and a Minnesota-based global agribusiness settled CFTC charges separately (see here and here)...
Worldwide
10 Oct 2019
18
ISDA CEO Calls For Changes To Current CVA Capital Rules
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.
United States
10 Oct 2019
19
FINRA Amends Investment Fund Research Rules To Conform To FAIR Act
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").
United States
10 Oct 2019
20
OFAC Extends Expiration Dates Of Venezuelan General Licenses
OFAC extended the expiration dates of two Venezuela-related General Licenses to March 31, 2020.
United States
10 Oct 2019
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