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Cadwalader, Wickersham & Taft LLP
 
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By Cadwalader, Wickersham & Taft LLP
The MSRB proposal to eliminate MSRB Rule G-29 ("Availability of Board Rules") was published in the Federal Register. Comments must be submitted by May 28, 2019.
By Cadwalader, Wickersham & Taft LLP
The CFTC awarded approximately $1.5 million to an individual whistleblower for information provided in connection ...
By Cadwalader, Wickersham & Taft LLP
FINRA proposed new rules that would impose additional capital obligations on firms with a "significant history of misconduct" ...
By Cadwalader, Wickersham & Taft LLP
The Congressional Research Service ("CRS") reviewed recent proposals by the Federal Reserve Board ("FRB")
By Nihal Patel
ISDA CEO Scott O'Malia encouraged regulators and policymakers to reduce certain "burdensome" requirements that will be enacted on the forthcoming implementation of initial margin ("IM") "Phase Five."
By Cadwalader, Wickersham & Taft LLP
The FTC charged a company and its officer with using customer funds raised through crowdfunding on personal expenses and marketing, rather than the development of several promised products.
By Scott Cammarn, Vivian Maese, Mark Chorazak, Jonathan Watkins, Marshall G. Jones
Many have believed that the national bank "fintech charter" is an ideal solution to providing marketplace consumer loans on a 50-state basis.
By Cadwalader, Wickersham & Taft LLP
The CFPB requested comment on a proposal to increase the reporting data threshold for closed-end mortgage loans and open-end lines of credit under the Home Mortgage Disclosure Act ("HMDA") rules.
By Cadwalader, Wickersham & Taft LLP
The Financial Crimes Enforcement Network ("FinCEN") warned financial institutions of public corruption in Venezuela, as well as of attempted money laundering by Venezuelan political figures.
By Steven Lofchie
The Federal Reserve Board proposed expanding the number of financial institutions that fall under the "netting" provisions of the Federal Deposit Insurance Corporation Improvement Act of 1991
By Michael Sholem
Financial Conduct Authority ("FCA") Executive Director for Strategy and Competition Christopher Woolard highlighted FCA efforts to promote innovation in the financial services industry.
By Steven Lofchie
The SEC voted to propose rule amendments intended to improve the information disclosed regarding acquisitions and dispositions of businesses.
By Christian Larson
FINRA provided guidance to member firms on reporting and monitoring suspicious activity pursuant to FINRA Rule 3310 ("Anti-Money Laundering Compliance Program").
By Cadwalader, Wickersham & Taft LLP
SEC Chair Jay Clayton defended the SEC's FY 2020 Budget Request of $1.746 billion before the U.S. Senate Committee on Appropriations, Subcommittee on Financial Services and General Government.
By Cadwalader, Wickersham & Taft LLP
The MSRB reported a continuing decrease in the number of MSRB-registered municipal securities dealers ("dealers") and, conversely, less concentration of customer trades in the big dealers.
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