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Searching Content by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
House Financial Services Committee Chair Maxine Waters Reintroduces Consumers First Act
House Financial Services Committee Chair Maxine Waters (D-CA), along with numerous Democratic co-sponsors, reintroduced the Consumers First Act (the "CFA").
United States
19 Mar 2019
2
FRB Affirms Countercyclical Capital Buffer At Zero Percent
The Federal Reserve Board voted to affirm the Countercyclical Capital Buffer at the current level of zero percent.
United States
19 Mar 2019
3
Broker-Dealer Settles Inadequate Supervision And Related Charges
A broker-dealer agreed to settle FINRA charges for multiple violations including providing inaccurate statements ...
United States
19 Mar 2019
4
FHFA Issues Rule On Uniform Mortgage-Backed Securities
The Federal Housing Finance Agency ("FHFA") issued a final rule intended to improve the liquidity of Fannie Mae and Freddie Mac To-Be-Announced ("TBA") ...
United States
19 Mar 2019
5
Russian Telecommunications Company Settles FCPA Charges
A Russian telecommunications services company Mobile TeleSystems PJSC ("Mobile") agreed to settle SEC charges that it violated the anti-bribery, books ...
Worldwide
19 Mar 2019
6
FFIEC Agrees To Set Of Principles For All ROEs, OCC To Update ROE Policy
Federal Financial Institutions Examination Council ("FFIEC") members agreed to a set of principles that apply to all reports of examinations ("ROEs").
United States
19 Mar 2019
7
CFTC Chair J. Christopher Giancarlo Highlights Agency Response To Evolving Markets And Innovation
CFTC Chair J. Christopher Giancarlo highlighted the ways in which the agency is crafting a "modern regulatory approach" to rapidly changing markets and technological developments, including
United States
19 Mar 2019
8
Federal Register: SEC Adopts Rule On Filings For Certain Non-Public Reports
The SEC interim final rule modifying the timing for submissions by SEC-registered investment companies of reports on Form N-PORT, and amending Form N-LIQUID, was published in the Federal Register.
United States
18 Mar 2019
9
CFPB Provides Specifications For Online Submissions To Prepaid Account Agreements
The Consumer Financial Protection Bureau ("CFPB") provided technical specifications to help prepaid account issuers submit their prepaid account agreements online.
United States
18 Mar 2019
10
FRB Requests Feedback On Amending Reserve Requirements Of Depository Institutions
In an advance notice of proposed rulemaking, the FRB solicited feedback on whether to amend Regulation D to lower the rate of interest paid on excessive balances maintained at FRB banks by eligible institutions.
United States
18 Mar 2019
11
OFAC Extends Expiration Date Of General Licenses Regarding Ukraine-Related Sanctions
The U.S. Treasury Department Office of Foreign Assets Control ("OFAC") extended the expiration date of two general licenses with respect to Ukraine-related sanctions.
United States
18 Mar 2019
12
NFA Modifies Proposal Amending Swaps Compliance Rules
The NFA modified proposed amendments to Compliance Rules and Interpretive Notices to cover transactions and counterparties relating to swaps, as well as other commodity interests (e.g., futures).
United States
18 Mar 2019
13
FRB Amends Capital Plan Rule, Provides Instructions For 2019 CCAR Exercise
The Federal Reserve Board ("FRB") amended the "capital plan rule" to limit the scope of potential objections to a firm's capital plan on the basis of "qualitative deficiencies in the firm's capital planning process."
United States
18 Mar 2019
14
CFTC Joins Fight Against Foreign Corruption
CFTC Division of Enforcement Director James McDonald pledged to enforce CEA provisions that encompass foreign corrupt practices and issued an Enforcement Advisory on cooperation and self-reporting for violations of...
United States
18 Mar 2019
15
NASAA Recommends Legislative Agenda For 116th Congress
The North American Securities Administration ("NASAA") offered a legislative agenda for the 116th Congress.
United States
18 Mar 2019
16
SEC Commissioner Peirce Criticizes Proxy Process
In remarks at the Council of Institutional Investors Spring Conference, SEC Commissioner Hester Peirce highlighted developments in the proxy system, touching on disclosure reform efforts...
United States
18 Mar 2019
17
NFA Proposes Changes To Membership And Qualification Requirements
The NFA proposed (i) amendments to NFA Bylaw 301 and NFA Compliance Rule 2-24, and (ii) an Interpretive Notice relating to proficiency requirements for individuals engaged in swaps activities.
United States
18 Mar 2019
18
Court Of Appeals Affirms Dismissal Of Securities Fraud Suit Based On Medicare Compliance Violations
The U.S. Court of Appeals for the Second Circuit (the "Second Circuit") affirmed a lower court's dismissal of a shareholder's lawsuit alleging that a health insurer and its executives misled investors regarding compliance with Medicare regulations.
United States
18 Mar 2019
19
Financial Services Firm Settles Regulation SHO Charges
A financial services firm agreed to settle FINRA charges for Regulation SHO (i.e., short sale rule) violations.
United States
15 Mar 2019
20
Broker-Dealer Settles FINRA Charges For OATS Violations
An SEC-registered broker-dealer and FINRA member agreed to settle FINRA charges for failing to properly or timely submit 366,428 Reportable Order Events ...
United States
15 Mar 2019
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