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By Cadwalader, Wickersham & Taft LLP
Radio Songs For Radio Heads
By Cadwalader, Wickersham & Taft LLP
FINRA elected four new governors to the agency's Board of Governors. The new governors begin their three-year terms effective immediately.
By Steven Lofchie
In a separate address at the Forum, Ms. Miller stressed the importance to the economy of capital formation and investment in new companies.
By Cadwalader, Wickersham & Taft LLP
The CFPB and the State of Arkansas proposed a settlement in the United States District Court, Eastern District of Arkansas, against brokers for violations of the Consumer Financial
By Cadwalader, Wickersham & Taft LLP
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
By Cadwalader, Wickersham & Taft LLP
According to OFAC, Atradius Trade Credit Insurance ("ATCI") dealt in property or interests of Grupo Wisa, S.A. ("Grupo Wisa"), a designated ("SDN") narcotics trafficker and former
By Cadwalader, Wickersham & Taft LLP
The New York State Department of Financial Services ("NYDFS") approved the application of a trust company to act as a custodian for Bitcoin.
By Cadwalader, Wickersham & Taft LLP
In newly issued guidance, FINRA reminded firms doing business with municipalities to implement appropriate supervisory procedures to avoid conducting unregistered municipal advisory activities.
By Nihal Patel
The CFTC Division of Market Oversight ("DMO") granted time-limited relief to an Irish affiliate of a UK-based financial institution to act as reporting counterparty for certain swaps with U.S.
By Robert Zwirb
Two companies agreed to pay $16 million to settle CFTC charges of wheat futures price manipulation. Pursuant to the settlement, the CFTC agreed not to make "any public statement about this case."
By Cadwalader, Wickersham & Taft LLP
Regulatory change increases overhead expense for financial institutions. The Cabinet "Alerts" tool allows firms and individuals to track regulatory
By Cadwalader, Wickersham & Taft LLP
CME issued fines and suspensions against two brokers and a futures brokerage firm for separate trade practice violations.
By Cadwalader, Wickersham & Taft LLP
She said the OASB is intended to facilitate greater access to capital markets for small business owners and their investors.
By Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker is a list of comment deadlines, compliance dates, effective dates and delayed actions.
By Cadwalader, Wickersham & Taft LLP
Federal Register: SEC Codifies Exemption to Rating Agency Disclosure Obligations.
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