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By Mark Howe
The Internal Revenue Service reissued proposed regulations concerning the new centralized partnership audit regime.
By Steven Lofchie
The North American Securities Administrators Association ("NASAA") published a study of practices and procedures used by broker-dealers applicable to senior investors.
By Cadwalader, Wickersham & Taft LLP
The Consumer Financial Protection Bureau ("CFPB") is seeking public comment on proposed changes to the "prepaid card accounts" rule ("prepaid rule") under Regulation E and Regulation Z.
By Cadwalader, Wickersham & Taft LLP
A U.S. District Court judge for the Southern District of Florida entered a Consent Order against a Florida-based telemarketing firm and its owners...
By Nihal Patel
Currently, the pilot program is set to expire on July 18, 2017. The proposal would extend the pilot program to July 18, 2018.
By Steven Lofchie
The U.S. Treasury Department requested recommendations and information from the public to identify Treasury regulations that can be "eliminated...
By Cadwalader, Wickersham & Taft LLP
CFTC Acting Chair J. Christopher Giancarlo appointed Erica Elliott Richardson to be the Director of the Office of Public Affairs ("OPA").
By Cadwalader, Wickersham & Taft LLP
FINRA launched an "Innovation Outreach Initiative" ("Initiative") to facilitate engagement and cooperation with market participants concerning the role of FinTech in the securities industry.
By Cadwalader, Wickersham & Taft LLP
The SEC and the CFTC declined to issue a joint interpretation on whether a particular agreement is classified as a swap, security-based swap, or mixed swap.
By Cadwalader, Wickersham & Taft LLP
The International Organization of Securities Commissions ("IOSCO") published a report on regulating the risks associated with misconduct in wholesale markets.
By Steven Lofchie
The U.S. Treasury Department ("Treasury") released a report pursuant to President Trump's February Executive Order establishing core principles for improving the financial system (see previous coverage).
By William Sadd, Steven Lofchie
The Cabinet Regulatory Tracker provides a list of upcoming comment deadlines and expiration dates.
By Cadwalader, Wickersham & Taft LLP
FINRA filed a proposed rule change relating to the implementation date of rules requiring firms to use two new trade modifiers when reporting transactions in U.S. Treasury Securities to FINRA via the TRACE.
By Cadwalader, Wickersham & Taft LLP
At the 2017 Journal of Accounting and Public Policy Conference, SEC Chief Accountant Wesley Bricker described the "significant contributions" of academic researchers to the quality and...
By Cadwalader, Wickersham & Taft LLP
In a recent memorandum, Cadwalader attorneys Jason Halper, Jodi Avergun, Joe Moreno, Lex Urban, Kendra Wharton and Aaron Buchman posited that the "Financial CHOICE Act of 2017"...
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