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Cadwalader, Wickersham & Taft LLP
 
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By Cadwalader, Wickersham & Taft LLP
The SEC updated Compliance and Disclosure Interpretations ("C&DIs") related to Regulation S-K and several rules and forms under the Exchange Act.
By Cadwalader, Wickersham & Taft LLP
A broker-dealer and an affiliated FinTech firm agreed to pay $12 million to settle SEC charges in connection with a dark pool operation.
By Cadwalader, Wickersham & Taft LLP
FINRA will update the FOCUS filing system for broker-dealers to comply with the SEC's recently adopted amendments to disclosure requirements for SEC-regulated entities.
By Cadwalader, Wickersham & Taft LLP
The Federal Reserve Board, the FDIC and the Office of the Comptroller of the Currency proposed rules that would reduce regulatory reporting requirements for eligible small depository institutions.
By Steven Lofchie
CFTC Chair J. Christopher Giancarlo urged the CFTC and other market regulators to adapt to modern digital markets and transform themselves into quantitative-driven agencies.
By Cadwalader, Wickersham & Taft LLP
The SEC Division of Corporation Finance granted exemptive relief to Mphasis Limited, an Indian company, from Exchange Act Rules 14e-1(a) and (c) ...
By Cadwalader, Wickersham & Taft LLP
Risk Desk editor John Sodergreen interviewed CFTC Chair J. Christopher Giancarlo on the regulation of cross-border swap transactions.
By Cadwalader, Wickersham & Taft LLP
An SEC-issued "Commission Statement" that provides relief from aspects of the security-based swap dealer ("SBSD") business conduct rules was published in the Federal Register.
By Cadwalader, Wickersham & Taft LLP
SEC Enforcement Division Asset Management Unit Co-Chief Anthony S. Kelly will leave the agency prior to December 1, 2018.
By Cadwalader, Wickersham & Taft LLP
The Alternative Reference Rates Committee ("ARRC") extended the comment period deadline for two consultations on U.S. dollar LIBOR fallback contract language for floating rate notes and syndicated business loans.
By Cadwalader, Wickersham & Taft LLP
The U.S. Treasury Department and the IRS proposed regulations that affect certain U.S. corporations that own, or are treated as owning, stock in foreign corporations.
By Cadwalader, Wickersham & Taft LLP
The Federal Financial Institutions Examination Council ("FFIEC") alerted financial institutions to the potential impact that cyber-related sanctions may have on information technology, operations and compliance.
By Steven Lofchie
SEC Commissioner Hester Peirce called on the agency to "resist" the distraction of focusing on achieving numerical and penalty amount targets with respect to enforcement actions.
By Steven Lofchie
The SEC will amend Regulation NMS Rules 600(b) and 606 to increase the transparency of broker-dealers' "handling and routing of orders in NMS stock."
By James Treanor
The U.S. government re-imposed sanctions on Iran that had been waived or lifted by the Joint Comprehensive Plan of Action ("JCPOA").
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