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1
CFTC Names Advisory Committee Sponsors
CFTC Chair J. Christopher Giancarlo announced that CFTC Commissioner Dawn Stump will sponsor the Global Markets Advisory Committee and Commissioner Dan Berkovitz ...
United States
22 Oct 2018
2
CFPB Releases Semiannual Rulemaking Agenda
The Consumer Financial Protection Bureau ("CFPB") listed the regulatory matters that it will consider from October 1, 2018 to September 30, 2019.
United States
22 Oct 2018
3
ISDA Updates Model Netting Act
ISDA updated its Model Netting Act, which provides model legislation for jurisdictions that are considering enacting statutes protecting close-out netting.
United States
22 Oct 2018
4
SEC Allows Late Filings For Hurricane-Impacted Firms
The SEC will exempt persons affected by Hurricane Michael from certain requirements of the Exchange Act and Investment Company Act.
United States
22 Oct 2018
5
SEC Allows Mutual Fund Board To Rely On CCO
In a no-action letter, the SEC Division of Investment Management ("Division") stated that a mutual fund's board of directors ...
United States
22 Oct 2018
6
Accrual Clauses In RMBS Contracts Violate New York Law And Public Policy
On October 16, 2018, the New York State Court of Appeals held that contractual attempts to extend the statute of limitations for causes of action ...
United States
22 Oct 2018
7
ISDA Analyzes Treatment Of Uncleared Margin As Incentive To Clear
ISDA analyzed the use of uncleared margin for derivatives as an incentive to clear. In a new white paper that draws on internal research
United States
19 Oct 2018
8
SEC Issues Decision On Market Data Fees And Market Structure
The SEC issued an opinion and order regarding several administrative proceedings that at least temporarily rejected increases in market data fees.
United States
19 Oct 2018
9
CFTC Chair Opposes Proposed EU Cross-Border Legislation
CFTC Chair J. Christopher Giancarlo warned European Union regulators that the agency does not approve of and will oppose any proposed cross-border legislation that is conflicting or overly burdensome.
Worldwide
19 Oct 2018
10
Exchange Operators Call For Recusal Of SEC Director From Market Data Fee Lawsuit
In a motion filed with the SEC, NYSE and Nasdaq requested the recusal of SEC Division of Trading and Markets Director Brett Redfearn from the SEC's review of a dispute regarding market data fee increases.
United States
19 Oct 2018
11
MFA Provides Recommendations To CFTC For Simplifying Form PF Reports
The Managed Funds Association ("MFA") made recommendations on how to simplify Form PF reporting by dually registered investment advisers and commodity pool operators ("dually registered firms").
United States
19 Oct 2018
12
Senate Banking Committee Considers State Of Cryptocurrency And Blockchain
The U.S. Senate Committee on Banking, Housing and Community Affairs held a hearing on the state of cryptocurrency and blockchain.
United States
19 Oct 2018
13
SEC Reopens Comment Period On Capital, Margin And Segregation Requirements For SBSDs
The SEC reopened the comment period, and requested additional comments, on proposed new rules and amendments to (i) establish capital, margin and segregation requirements for SBSDs and major security-based swap...
United States
19 Oct 2018
14
Cadwalader Analysis: SEC Returns To Security-Based Swap Dealer Regulation
Cadwalader attorneys reviewed the SEC's security-based swap rules under Dodd-Frank Title VII in light of the agency taking action to reopen the comment period on capital, margin and segregation requirements.
United States
19 Oct 2018
15
FINRA Recaps October Disciplinary Actions
FINRA summarized recent disciplinary actions against firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws and rules.
United States
19 Oct 2018
16
MSRB Proposes Amendments To Reporting Requirements For College Savings And ABLE Programs
The MSRB proposed to amend Form G-45 to clarify data elements and to require additional data from underwriters of college savings plans ...
United States
19 Oct 2018
17
NASAA Warns Investors About Marijuana-Related Investment Risks
The North American Securities Administrators Association ("NASAA") warned investors of scams and risks concerning marijuana-related investments.
United States
19 Oct 2018
18
FRB Governor Recommends Improvements To Community Reinvestment Act
Federal Reserve Board ("FRB") Governor Lael Brainard outlined a number of ways to improve the effectiveness of the Community Reinvestment Act ("CRA") ...
United States
19 Oct 2018
19
Banking Regulators Update FAQs On Real Estate Transactions
The Office of the Comptroller of the Currency, the Federal Reserve Board and the FDIC updated answers to FAQs ...
United States
19 Oct 2018
20
SEC Urges Public Companies To Develop Internal Controls Against Cyber-Related Fraud
The SEC urged public companies to implement internal accounting controls capable of preventing cyber-related fraud.
United States
19 Oct 2018
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