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Cadwalader, Wickersham & Taft LLP
 
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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.
By Cadwalader, Wickersham & Taft LLP
Several industry associations proposed amendments to an SEC-proposed new rule intended to "streamline and enhance" the regulatory framework for "fund of funds arrangements"
By Cadwalader, Wickersham & Taft LLP
A U.S.-based shipping and logistics company agreed to settle OFAC charges of violating Weapons of Mass Destruction ("WMD") Proliferators Sanctions Regulations.
By Cadwalader, Wickersham & Taft LLP
In remarks on the application of the antitrust laws to the financial sector at Fordham University School of Law, DOJ Assistant Attorney General Makan Delrahim stated
By Nihal Patel, Steven Lofchie
CFTC Chair J. Christopher Giancarlo urged U.S. regulators to clarify obligations for dealers to exchange initial margin ("IM") where requirements are below the $50 million threshold amount
By James Treanor
OFAC provided long-awaited and detailed U.S. economic sanctions guidance for organizations that are subject to U.S. jurisdiction,
By Cadwalader, Wickersham & Taft LLP
FINRA's proposal amending Rule 5110 ("Corporate Financing Rule - Underwriting Terms and Arrangements") to make "substantive, organizational and terminology" changes was published in the Federal Register.
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