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Searching Content indexed under Financial Services by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
OCC Adopts Amendments To Company-Run Stress Testing Requirements
The OCC adopted a final rule to amend the agency's company-run stress testing requirements for national banks and federal savings associations
United States
23 Oct 2019
2
CFPB Reports On Issues Faced By Consumers
In its Semi-Annual Report to Congress, the CFPB highlighted significant problems faced by consumers between October 1, 2018 and March 31, 2019.
United States
23 Oct 2019
3
NFA President Describes The SRO's Approach To Derivatives Regulation
NFA President Thomas W. Sexton III described the self-regulatory organization's ("SRO") approach to derivatives industry regulation.
United States
23 Oct 2019
4
Transitions From IBOR To Alternative Rates Avoid Tax Under Proposed Regulations
On October 8, 2019, the Treasury Department and IRS issued proposed regulations confirming that transitions from LIBOR and other interbank offered rates (IBORs)
United States
23 Oct 2019
5
NFA Reminds Members Of Branch Office Supervision Obligations
NFA reminded members to implement no less than the minimum requirements outlined in the recently updated NFA Interpretive Notice Compliance Rule 2-9
United States
22 Oct 2019
6
FDIC Supplements Proposed Revisions To Certain Interest Rate Restrictions
The FDIC supplemented proposed rule revisions on interest rate restrictions for certain insured depository institutions
United States
22 Oct 2019
7
Federal Register: FINRA Changes Method For Calculating Trade Reporting Fees
The FINRA proposal 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
22 Oct 2019
8
Federal Register: IRS Proposes LIBOR Transition Rules
The IRS proposal amending certain regulations to address the transition from interbank offered rates ("IBORs")
United States
22 Oct 2019
9
FINRA Offers New Resources For Reg. BI And Form CRS Implementation
FINRA offered new resources to member firms in preparation for compliance with Regulation Best Interest ("Reg. BI") and Form CRS (see previous coverage) by the deadline of June 30, 2020.
United States
22 Oct 2019
10
DOJ Issues Guidance On "Inability-To-Pay" Claims
DOJ provided guidance for prosecutors evaluating claims from a business organization that it is unable to pay a proposed fine or penalty,
United States
22 Oct 2019
11
SEC, CFTC And Federal Reserve Approve Volcker Amendments
The SEC, CFTC and Federal Reserve each adopted amendments to the regulations implementing the Volcker Rule
United States
22 Oct 2019
12
IRS Proposes LIBOR Transition Rules
The IRS proposed regulations to address the transition from interbank offered rates ("IBORs") to other reference rates for debt instruments and non-debt contracts.
United States
22 Oct 2019
13
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
14
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
15
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
16
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
17
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
18
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
19
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
20
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
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