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By Mark Highman
A broker-dealer settled FINRA charges for failing to adequately supervise a registered representative's participation in private securities transactions ("PSTs").
By Nihal Patel
The SEC voted to propose a reduction in the margin requirement for an unhedged security futures position and to align the margin offset table for security futures with the reduced margin requirements.
By Kyle DeYoung
SEC Chair Jay Clayton highlighted the benefits of settlement agreements and announced a change in the agency's approach to contemporaneous settlement offers and waiver requests.
By Cadwalader, Wickersham & Taft LLP
The CFTC granted Eris Clearing, LLC ("Eris") registration as a derivatives clearing organization ("DCO") to clear fully collateralized virtual currency futures.
By Michael Sholem
The Chair of the Supervisory Board of the European Central Bank ("ECB"), Andrea Enria, asked the CEOs of the largest banks in the Eurozone to explain how they plan to deal with upcoming changes..
By Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for failing to adequately supervise the suitability of registered representatives' trading activity
By Cadwalader, Wickersham & Taft LLP
The Federal Reserve Board adopted rule amendments that delegate the authority to approve certain types of applications, notices and requests to Federal Reserve Banks.
By Cadwalader, Wickersham & Taft LLP
OFAC designated the Cuban state-run oil import and export company pursuant to Executive Order 13850 for its continued importation of oil from Venezuela.
By Robert Zwirb
A commodity trading firm settled CFTC charges for engaging in wash sales and noncompetitive transactions traded
By Steven Lofchie
In a letter to Facebook executives, Chair of the House Financial Services Committee Maxine Waters (D-CA) and four Democratic representatives requested
By Cadwalader, Wickersham & Taft LLP
The CFTC advised the public to avoid unregistered brokers and advisers promoting their services on social media platforms.
By Cadwalader, Wickersham & Taft LLP
The CFTC awarded two whistleblowers approximately $2 million for information that led to a CFTC investigation
By Cadwalader, Wickersham & Taft LLP
The Federal Reserve Board and the CFPB final rule to implement a requirement for certain dollar amounts and thresholds to be inflation-adjusted periodically under Regulation CC
By Cadwalader, Wickersham & Taft LLP
The SEC named Sagar Teotia as Chief Accountant, following the departure of Wesley R. Bricker. Mr. Teotia was previously serving as Acting Chief Accountant.
By Cadwalader, Wickersham & Taft LLP
The comment deadline for a CFTC proposal amending derivatives clearing organization ("DCO") regulations was extended from July 15, 2019 until September 13, 2019.
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