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Searching Content by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
Regulators Encourage Lenders To Work With Consumers Impacted By Shutdown
The Federal Reserve Board, the Office of the Comptroller of the Currency, the FDIC, the Consumer Financial Protection Bureau, the National Credit Union Administration and the Conference of State Bank Supervisors encouraged financial institutions to work with consumers impacted by the federal government shutdown.
United States
18 Jan 2019
2
Broker-Dealer Settles FINRA Charges For Failure To Supervise Sales Of Variable Annuities
A broker-dealer agreed to settle FINRA charges for failing to supervise sales of variable annuities.
United States
18 Jan 2019
3
FDIC Chair McWilliams Describes Agency Supervisory Approach
FDIC Chair Jelena McWilliams underscored principles of certainty, consistency, diligence and communication in regulatory supervision.
United States
18 Jan 2019
4
Reg. Tracker: January 1 To January 15 2019
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, effective dates, compliance dates and expiration dates.
United States
17 Jan 2019
5
House Passes Appropriations Bill
The House of Representatives passed the "Financial Services and General Government Appropriations Act, 2019" (the "Act").
United States
17 Jan 2019
6
European Financial Regulator Calls For Common Regulatory Framework For ICOs And Crypto-Assets
In a new report, the European Securities and Markets Authority ("ESMA") addressed the need for a uniform set of EU-wide regulations applicable to Initial Coin Offerings ("ICOs") and other crypto-assets.
European Union
17 Jan 2019
7
Federal Reserve Board Governors Name Chairs And Deputy Chairs For Federal Reserve Bank Boards
According to the notice, each Reserve Bank has a nine-member board of directors.
United States
16 Jan 2019
8
Federal Register: FDIC Limits Scope Of Stress Testing Requirements
Proposed revisions to FDIC requirements for stress testing supervised institutions were published in the Federal Register.
United States
16 Jan 2019
9
FINRA Updates FAQs On Treasury Auction Reporting Requirements
FINRA reminded members not to report auction purchases of U.S. Treasury securities to the Trade Reporting and Compliance Engine.
United States
16 Jan 2019
10
ARRC Provides Instructional Videos On Consultations For Fallback Language
Comments on the securitization and bilateral loan consultations must be submitted by February 5, 2019.
United States
16 Jan 2019
12
President Trump's Federal Reserve Board Nominee Drops Out
Nellie Liang, President Donald J. Trump's nominee for a seat on the Federal Reserve Board, withdrew her name from consideration.
United States
15 Jan 2019
13
FINRA Updates Supplemental FOCUS Information
FINRA updated the Supplemental Statement of Income ("SSOI") to conform with SEC rule amendments that "simplify and update certain of the FOCUS reporting requirements for broker-dealers."
United States
15 Jan 2019
14
FRB Proposes Rule Amending Company-Run Stress Testing Requirements
The Federal Reserve Board ("FRB") proposed a rule amending the FRB's company-run stress test and supervisory stress test rules ...
United States
15 Jan 2019
15
FINRA Provides 2019 Holiday Filing Information
In an Information Notice, FINRA provided firms with the due dates for filing requests of extension of time for bank and exchange holiday closures in 2019.
United States
15 Jan 2019
16
FINRA Proposes To Extend Response Times In Arbitrations
The proposed rule change also makes corresponding changes intended to improve the discovery process.
United States
15 Jan 2019
18
NFA Claims Introducing Broker Failed To Maintain Records
The NFA alleged that IVG Energy Ltd. ("IVG"), an introducing broker, failed to (i) "keep full, complete and systematic records of all transactions relating to IVG's business of dealing
United States
14 Jan 2019
19
NFA Amends Cybersecurity Requirements
The NFA amended an Interpretive Notice (the "Notice") on Information Systems Security Program ("ISSP") requirements.
United States
14 Jan 2019
20
MSRB Seeks Feedback On Proposed Guidance On Prearranged Trading In Primary Offerings
The MSRB requested feedback on draft interpretive guidance regarding the application of MSRB rules, and previous interpretive guidance for specific prearranged trading in connection
United States
10 Jan 2019
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