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Cadwalader, Wickersham & Taft LLP
 
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By Cadwalader, Wickersham & Taft LLP
The SEC renewed the Equity Market Structure Advisory Committee (the "Committee") for a period of five months.
By Joseph Facciponti
The SEC agreed to settle charges with a former hedge fund analyst accused of trading on nonpublic information (see previous coverage).
By James Treanor
The U.S. Treasury Department ("Treasury") Office of Foreign Assets Control ("OFAC") sanctioned eight Venezuelan individuals for "participating in anti-democratic activities.
By Cadwalader, Wickersham & Taft LLP
FINRA and the Securities Investor Protection Corporation agreed to simplify the annual report filing process for members.
By Cadwalader, Wickersham & Taft LLP
He also stated that he supports Congressional efforts to overturn the rule using the Congressional Review Act.
By Mark Howe
The Democrats vowed they would not back a tax reform plan that "includes tax cuts for the top one percent."
By Cadwalader, Wickersham & Taft LLP
FINRA released a podcast summary of FINRA news, notices and compliance resources from July 2017. The podcast highlighted:
By Cadwalader, Wickersham & Taft LLP
The Board of Governors of the Federal Reserve System ("FRB") requested public comment on two related proposals:
By Cadwalader, Wickersham & Taft LLP
The SEC approved changes to the MSRB rule on customer account transfers.
By Steven Lofchie
The SEC noted that "on at least one occasion," the consultant's wife instructed him not to trade in her company's stock.
By Nihal Patel
House Committee on Financial Services ranking member Congresswoman Maxine Waters (D-CA) introduced a bill that would amend the current SEC process for waiving automatic disqualifications of "bad actors."
By Cadwalader, Wickersham & Taft LLP
The CFTC Division of Market Oversight (the "Division") released the results of a rule enforcement review of the North American Derivatives Exchange, Inc. ("Nadex").
By Keith Noreika, Richard Cordray
The report highlighted actions taken by Congressional Republicans to repeal the CFPB arbitration rule (see previous coverage) as examples of such efforts.
By William Sadd, Steven Lofchie
The Cabinet Regulatory Tracker provides a list of upcoming reporting deadlines, comment deadlines, effective dates and expiration dates.
By Cadwalader, Wickersham & Taft LLP
The Board of Governors of the FRB and the Federal Deposit Insurance Corporation ("FDIC") extended the filing deadline for the next resolution plans of nineteen foreign banks...
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