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Searching Content by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
CFPB Grants No-Action Relief To Online Lending Platform From Enforcement Actions Under ECOA
In its first ever no-action letter, the Consumer Financial Protection Bureau ("CFPB") granted relief to an online lending platform from certain supervisory and enforcement actions with respect to...
United States
22 Sep 2017
2
CME Group To Exit OTC Credit Clearing Business
CME Group announced that it will stop clearing credit defaults swaps by mid-2018.
United States
22 Sep 2017
3
Senate Finance Committee Debates Tax Reform
At a U.S. Senate Finance Committee (the "Committee") hearing, Committee leaders and industry experts debated recommendations for individual tax reform.
United States
22 Sep 2017
4
SEC Fines Investment Firm In Connection With Mutual Fund Sales
An investment services subsidiary of a bank agreed to settle SEC charges as to allegations that the firm improperly collected fees from clients.
United States
22 Sep 2017
5
MSRB Requests Comment On Concept Proposal For Primary Offering Practices
The MSRB published a concept proposal to request feedback from market participants on the primary offering practices of broker-dealers and municipal securities dealers.
United States
22 Sep 2017
6
Senate Confirms Nominee For Chair Of Council Of Economic Advisers
By a vote of 81-16, the United States Senate confirmed Kevin Allen Hassett as Chair of the Council of Economic Advisers.
United States
21 Sep 2017
7
CFTC Chair Reaffirms Commitment To Deference-Based Global Swaps Framework
CFTC Chair J. Christopher Giancarlo reiterated his prior remarks on global swaps regulation (see previous coverage of his speech in Switzerland and op-ed in French newspaper Les Échos).
United States
21 Sep 2017
8
SEC Committee On Small And Emerging Companies Makes Final Recommendations
The SEC Advisory Committee on Small and Emerging Companies (the "Committee") met to review the Final Report of the Committee.
United States
21 Sep 2017
9
Banking Agencies Propose Clean-Up Amendments To Reconcile CRA Regulations With Regulation C
The Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, and the FDIC proposed amendments to their CRA regulations in response to recent changes...
United States
21 Sep 2017
10
NASAA Warns Investors About Binary Options Schemes
The North American Securities Administrators Association ("NASAA") encouraged investors to carefully evaluate the circumstances before choosing to invest in binary options.
United States
21 Sep 2017
11
SEC Educates Investors About Trading In Cash Accounts
The SEC Office of Investor Education and Advocacy ("OIEA") issued an updated Investor Bulletin on trading in cash accounts and how certain activities can lead to a 90-day account freeze.
United States
21 Sep 2017
12
FINRA Hearing Panel Fines Broker-Dealer For Misrepresentations And Supervisory Violations
A FINRA hearing panel fined and censured a New York State-based broker-dealer for supervisory failures and misrepresentations to issuers in connection with redemptions of debt securities...
United States
21 Sep 2017
13
Senate Banking Committee Considers FinTech Innovation
The U.S. Senate Committee on Banking (the "Committee") considered testimony from industry experts on the challenges, benefits and potential future development of FinTech.
United States
21 Sep 2017
14
President Trump Cuts Three-Month Deal With Democrats, Debt Exceeds $20 Trillion
In a letter dated July 28, 2017, Treasury Secretary Steven T. Mnuchin informed Congress that the debt ceiling must be raised by the end of September.
United States
20 Sep 2017
15
CFTC Chair Giancarlo Warns European Officials Against Unilateral Changes To CCP Regulation
Mr. Giancarlo highlighted the importance of the collective G-20 commitment, made at the Pittsburgh summit...
European Union
20 Sep 2017
16
Compliance With Initial New York DFS Cybersecurity Rules Now Mandatory
As of August 28, 2017, insurance companies, banks, and other financial services companies regulated by the New York Department of Financial Services ("DFS") must comply with an initial wave...
United States
19 Sep 2017
17
Reg. Tracker: September 1 to September 15
The Cabinet Regulatory Tracker provides a list of upcoming comment deadlines, compliance deadlines, effective dates and meeting dates.
United States
19 Sep 2017
18
SFIG Files Brief Supporting Liquidation Of Securitization Vehicle
The Structured Finance Industry Group ("SFIG") submitted a proposed amicus brief to the SDNY Bankruptcy Court presiding over the involuntary chapter 11 petition pending against Taberna Preferred...
United States
19 Sep 2017
19
SEC Chief Accountant Describes Advances In Financial Reporting Standards
SEC Chief Accountant Wesley Bricker discussed (i) the role of financial reporting in financial markets, (ii) the Financial Accounting Standards Board ("FASB") credit losses standard-setting efforts...
United States
19 Sep 2017
20
CFTC Chair Giancarlo Advocates For Increased Cross-Border Deference
CFTC Chair J. Christopher Giancarlo reviewed the implementation of swap reforms over the past eight years and advocated for increased cross-border regulatory deference.
United States
19 Sep 2017
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