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By Cadwalader, Wickersham & Taft LLP
The SEC formed an Asset Management Advisory Committee with an initial two-year term beginning on November 1, 2019.
By Cadwalader, Wickersham & Taft LLP
NFA reminded members to implement no less than the minimum requirements outlined in the recently updated NFA Interpretive Notice Compliance Rule 2-9
By Cadwalader, Wickersham & Taft LLP
The SEC charged the former CEO and president of a Nasdaq-traded security technology company and charged three other individuals in a fraudulent broker bribery scheme.
By Steven Lofchie
The SEC proposed exempting certain municipal advisor activities from broker-dealer registration requirements.
By Mark Howe
The IRS provided updated guidance in the form of a revenue ruling and a FAQ on the tax treatment of virtual currency transactions.
By Cadwalader, Wickersham & Taft LLP
The MSRB amended proposed changes to its 2012 interpretive notice concerning the conduct of municipal securities underwriting and municipal advisory activities
By Cadwalader, Wickersham & Taft LLP
The FDIC supplemented proposed rule revisions on interest rate restrictions for certain insured depository institutions
By Cadwalader, Wickersham & Taft LLP
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")
By Cadwalader, Wickersham & Taft LLP
The IRS proposal amending certain regulations to address the transition from interbank offered rates ("IBORs")
By Cadwalader, Wickersham & Taft LLP
The Office of the Comptroller of the Currency, Federal Reserve Board and FDIC (collectively, the "agencies") final rule increasing the major asset prohibition thresholds for management
By Cadwalader, Wickersham & Taft LLP
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.
By Cadwalader, Wickersham & Taft LLP
DOJ provided guidance for prosecutors evaluating claims from a business organization that it is unable to pay a proposed fine or penalty,
By Cadwalader, Wickersham & Taft LLP
The SEC, CFTC and Federal Reserve each adopted amendments to the regulations implementing the Volcker Rule
By Mark Howe
The IRS proposed regulations to address the transition from interbank offered rates ("IBORs") to other reference rates for debt instruments and non-debt contracts.
By Cadwalader, Wickersham & Taft LLP
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.
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