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Cadwalader, Wickersham & Taft LLP
 
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By Cadwalader, Wickersham & Taft LLP
A Boston-based company (the "Company") settled potential civil liability on behalf of three of its current and former subsidiaries for alleged violations...
By Cadwalader, Wickersham & Taft LLP
The SEC proposal to (i) update the statistical disclosures for bank and savings and loan registrants and (ii) eliminate redundant disclosures was published in the Federal Register.
By Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for failing to implement an adequate supervisory system to address short positions in tax-exempt municipal bonds.
By Cadwalader, Wickersham & Taft LLP
Two interdealer brokers ("IDBs") settled separate New York Attorney General ("NYAG") and CFTC charges for fraudulent practices involving foreign exchange currency options.
By Cadwalader, Wickersham & Taft LLP
Federal Reserve Board Vice Chair Randal K. Quarles reviewed Financial Stability Board ("FSB") activity and raised issues that continue to affect the global financial system.
By Conor Almquist
In its annual Bank Supervision Operating Plan, the Office of the Comptroller of the Currency ("OCC") listed several key areas of focus for FY 2020.
By Lex Urban
The New York Attorney General's Office ("NYAG") launched an online whistleblower submission system to "attract, engage and protect whistleblowers."
By Robert Zwirb
At the CFTC Technology Advisory Committee ("TAC") meeting, CFTC Commissioner and Committee Chair Brian Quintenz
By Cadwalader, Wickersham & Taft LLP
A registered futures commission merchant ("FCM") settled CFTC charges for engaging in prohibited noncompetitive, fictitious wash sales.
By Cadwalader, Wickersham & Taft LLP
FDIC Chair Jelena McWilliams encouraged greater collaboration between community banks and FinTech firms (or "FinTechs").
By Cadwalader, Wickersham & Taft LLP
The Office of the Comptroller of the Currency, the Federal Reserve Board and the FDIC (collectively, the "agencies") adopted a final rule to increase the major asset
By Robert Zwirb
A voice broker settled CFTC charges for (i) mishandling confidential customer information, (ii) failing to retain audio recordings of block trades and (iii) failing to supervise.
By Steven Lofchie
U.S. Representatives Carolyn B. Maloney (D-NY) and Patrick McHenry (R-NC) introduced a bill that would require all eight U.S.
By Steven Lofchie
The SEC proposed rescinding certain exceptions under Regulation NMS concerning fee changes to a national market system plan.
By Nihal Patel
The CFTC settled enforcement cases against six swap dealers that all involved reporting failures. In addition to the reporting failures
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