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Searching Content indexed under Charges, Mortgages, Indemnities 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
Agencies To Raise Appraisal Threshold For Residential Real Estate Transactions
The Federal Reserve Board, the Office of the Comptroller of the Currency, and the FDIC adopted a final rule that will exempt residential real estate transactions of $400,000 or less from appraisal requirements.
United States
8 Oct 2019
3
Mortgage Lenders And SIFMA Comment On CFPB Revisions To Qualified Mortgage Definition
A coalition of mortgage lenders ("coalition") and SIFMA made separate recommendations to the CFPB on proposed revisions to the definition of "Qualified Mortgage" ("QM")
United States
24 Sep 2019
4
Broker Dealers Settle SEC Charges For Deficient Electronic Blue Sheet Data
Two broker-dealers settled separate SEC charges for submitting deficient electronic blue sheet data.
United States
24 Sep 2019
5
Investment Advisers Settle SEC Charges For Breaches Of Duty To Advised Funds
The SEC also alleged that AST and PGIM failed to reimburse the funds for higher taxes in certain foreign jurisdictions, as promised.
United States
24 Sep 2019
6
Treasury Issues Mortgage Reform Plan
The U.S. Department of the Treasury issued a mortgage reform plan. The "Housing Reform Plan" was developed pursuant to a Presidential Memorandum with the following goals:
United States
11 Sep 2019
7
Broker-Dealers Settle Charges For Misuse Of Pre-Released ADRs
Two broker-dealers settled separate SEC charges (see here and here) for improperly obtaining the pre-release of American Depositary Receipts ("ADRs") that the firms should
United States
22 Aug 2019
8
Federal Register: CFPB Proposes Revisions To Qualified Mortgage Definition
A CFPB proposal to change the definition of qualified mortgage in Regulation Z under the Ability to Repay/Qualified Mortgage Rule was published in the Federal Register.
United States
6 Aug 2019
9
CFPB Requests Comments On Proposed Revisions To Qualified Mortgage Definition
In advance of the expiration of a temporary qualified mortgage provision (the "GSE Patch") in the Ability to Repay/Qualified Mortgage Rule, the CFPB is considering amending the definition of "qualified mortgage" in Regulation Z.
United States
5 Aug 2019
10
Export Company Executive Pleads Guilty To DOJ Charges For Violating Iranian Sanctions
An Iranian individual pleaded guilty to DOJ charges for violating the International Emergency Economic Powers Act (IEEPA) and the Iranian Transactions and Sanctions
United States
29 Jul 2019
11
Former Portfolio Manager Settles CFTC Charges For Fraudulently Mismarking Swap Valuations
A former portfolio manager settled CFTC charges for fraudulently mismarking swap valuations to increase his bonus.
United States
26 Jul 2019
12
Broker-Dealer Settles FINRA Trade Reporting Charges Relating To Exercise Of OTC Options
A broker-dealer settled FINRA charges of failing to report transactions arising from the exercise of OTC options, and of related supervisory violations.
United States
25 Jul 2019
13
Korean Commodity Exchange Settles Charges For Failing To Implement Stress Test Findings
A commodity exchange settled CFTC charges for failing to meet stress testing requirements pursuant to a derivatives clearing organization registration exemption.
United States
25 Jul 2019
14
Broker-Dealer Settles Multiple State Charges Of Selling Unregistered Securities
A broker-dealer settled multi-state charges, coordinated by the North American Securities Administrators Association ("NASAA"), for selling unregistered non-exempt securities.
United States
25 Jul 2019
15
ARRC Recommends LIBOR Fallback Language For New Closed-End, Residential Adjustable-Rate Mortgages
The Alternative Reference Rates Committee ("ARRC") provided recommended fallback contract language for new closed-end, residential adjustable-rate mortgages ("ARMs") that reference U.S. dollar LIBOR.
United States
23 Jul 2019
16
A Tale Of Two Continents - European CMBS v U.S. CMBS & CRE CLOs
U.S. CMBS issuance equalled approximately $1711 billion during 2018.
Worldwide
19 Jul 2019
17
Hong Kong Hedge Fund Settles Charges For Exceeding Spot Month Position Limit In Wheat Futures Contracts
A Hong Kong-based hedge fund settled CFTC charges for exceeding the spot month speculative position limit for soft red winter wheat futures contracts.
United States
12 Jul 2019
18
Broker-Dealer Settles FINRA Charges Of Violating Order Protection Rule
A broker-dealer settled FINRA charges of failure to prevent trade-throughs of protected quotations in national market system ("NMS") stocks
United States
11 Jul 2019
19
CFPB Extends Comment Deadline On HMDA Data Point Information
The CFPB extended the comment period for information concerning the costs and benefits of certain data reporting points under the Home Mortgage Disclosure Act
United States
11 Jul 2019
20
Broker-Dealer Settles FINRA Charges Of Initial Margin Interest Rate Disclosure Failures
A broker-dealer agreed to pay $250,000 to settle FINRA charges that it failed to provide customers with initial margin interest rate disclosures under Exchange Act Rule 10b-16
United States
11 Jul 2019
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