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By Cadwalader, Wickersham & Taft LLP
FINRA released a podcast summary of FINRA news, notices and resources from June 2017.
By Cadwalader, Wickersham & Taft LLP
A judge in the U.S. District Court for the Northern District of California granted preliminary approval to an agreement that would allow Wells Fargo to settle a class-action lawsuit filed...
By Cadwalader, Wickersham & Taft LLP
Effective October 2, 2017, the delay period applicable to Historic Trade Reporting and Compliance Engine ("TRACE") Data for corporate bonds and agency debt will be reduced from 18 months to six months.
By Robert Zwirb
The CFTC charged a New York resident and his company with commodity pool fraud, off-exchange foreign currency derivatives fraud, and failure to register with the CFTC.
By Cadwalader, Wickersham & Taft LLP
The United States House Committee on Small Business ("Committee") requested a briefing by the Consumer Financial Protection Bureau ("CFPB") regarding the agency's business lending data collection rulemaking.
By Cadwalader, Wickersham & Taft LLP
The FDIC published a manual for FDIC employees that provides guidance on processing and evaluating deposit insurance applications.
By Cadwalader, Wickersham & Taft LLP
MiFID II and MiFIR will be applicable across the European Union ("EU") beginning on January 3, 2018.
By Nihal Patel, Steven Lofchie
The CFTC Division of Market Oversight (the "DMO") will undertake a comprehensive review of swap data reporting requirements.
By Jacob Dachs
The Consumer Financial Protection Bureau ("CFPB") issued a new rule that restricts mandatory arbitration clauses in certain consumer financial contracts.
By Cadwalader, Wickersham & Taft LLP
The SEC is updating the Electronic Data Gathering, Analysis, and Retrieval ("EDGAR") system's Filer Manual.
By Cadwalader, Wickersham & Taft LLP
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of July 3 to July 7, 2017.
By Steven Lofchie
The CFTC granted swap execution facility ("SEF") registration status to LedgerX, LLC, a New York-based company that has applied to be a bitcoin options exchange.
By Cadwalader, Wickersham & Taft LLP
The Basel Committee on Banking Supervision ("BCBS") and IOSCO proposed criteria for identifying "simple, transparent, and comparable" ("STC") short-term securitizations.
By Steven Lofchie
The Office of the Comptroller of the Currency ("OCC") described the principal risks facing national banks and federal savings associations in its Semiannual Risk Perspective for Spring 2017 (the "Report").
By Robert Zwirb
The National Futures Association ("NFA") submitted a comment letter in support of proposed CFTC amendments (see previous coverage) regarding the duties of Chief Compliance Officers ("CCOs")...
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