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Cadwalader, Wickersham & Taft LLP
 
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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.
By Steven Lofchie
The CFTC charged a former commodities trading company executive with attempting to conceal losses in a trading book.
By Cadwalader, Wickersham & Taft LLP
President Donald J. Trump signed an Executive Order authorizing the imposition of sanctions on persons operating in the iron, steel, aluminum or copper sectors of the Iranian economy.
By Cadwalader, Wickersham & Taft LLP
The Federal Reserve Board ("FRB") concluded that the financial sector appears resilient "with low leverage and limited funding risk" despite the volatility in the markets last year.
By Steven Lofchie
The SEC proposed amendments to the definitions of "accelerated filer" and "large accelerated filer" under Exchange Act Rule 12b-2.
By Jordan Thompson
A bipartisan group of Attorneys General from thirty-three states and five U.S. territories urged Congress to establish a safe harbor for financial institutions providing services to state-licensed cannabis businesses.
By Cadwalader, Wickersham & Taft LLP
The SEC named Adam S. Aderton as the new co-chief of the Asset Management Unit's Enforcement Division. Mr. Aderton, who replaces Anthony Kelly, will share the position with Dabney O'Riordan.
By Cadwalader, Wickersham & Taft LLP
An annuities firm agreed to settle FINRA charges for misrepresenting the nature of a portfolio containing several retirement bond funds to 401(k) sponsors and participants.
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