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Searching Content indexed under Finance and Banking by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
Use Cabinet Alerts For Regulatory Change Management (Video)
Regulatory change increases overhead expense for financial institutions. The Cabinet "Alerts" tool allows firms and individuals to track regulatory
United States
20 Aug 2019
2
CME Group Issues Fines And Suspension For Trade Practice Violations
CME issued fines and suspensions against two brokers and a futures brokerage firm for separate trade practice violations.
United States
20 Aug 2019
3
Reg. Tracker: August 16 To August 31 (2019)
The Cabinet Regulatory Tracker is a list of comment deadlines, compliance dates, effective dates and delayed actions.
United States
19 Aug 2019
4
Federal Register: SEC Codifies Exemption To Rating Agency Disclosure Obligations
Federal Register: SEC Codifies Exemption to Rating Agency Disclosure Obligations.
United States
19 Aug 2019
5
FINRA Fines Broker-Dealer For Failing To Qualify Traders
A broker-dealer settled FINRA charges for failing to ensure that certain equity traders had passed appropriate FINRA qualification examinations
United States
16 Aug 2019
6
FINRA Charges Former Registered Representatives With Failure To Report Outside Business Activities
In a FINRA disciplinary proceeding, the Department of Enforcement alleged that two former general securities representatives failed to report private securities transactions and outside business activities ("OBAs").
United States
16 Aug 2019
7
Trade Associations Comment On CCP Default Management Auctions
Several trade associations provided feedback on key areas of central counterparty ("CCP") default management auctions.
United States
15 Aug 2019
8
Federal Register: FRB Will Upgrade U.S. Payment System To Provide Interbank Settlements In Real Time
The Federal Reserve Board ("FRB") will upgrade the U.S. payment system to provide payment-by-payment interbank settlements in real time
United States
14 Aug 2019
10
Market Participants Split On Trigger Events For IBOR Cessation
ISDA said that preliminary results of a consultation show no consensus on whether contemplated fallback amendments to certain floating rate options that reference an IBOR should include a fallback trigger.
United States
13 Aug 2019
11
NFA Suspends CPO And CTA For Misleading Information And Failure To Register Commodity Pool
In an emergency action, the NFA suspended a CPO and CTA for failure to register their commodity pool with the NFA and for providing misleading information.
United States
13 Aug 2019
12
FCM Settles NFA Charges For Failing To Adjust Orders Affected By Trading Platform Malfunction
A futures commission merchant and retail forex dealer settled NFA charges for failing to compensate retail forex customers whose orders were adversely
United States
13 Aug 2019
13
FINRA Provides Resources For Reg. BI Implementation
FINRA urged broker-dealers to prepare for the implementation of SEC Regulation Best Interest ("Reg. BI").
United States
13 Aug 2019
14
Federal Register: FINRA Proposes Additional Exemptions From IPO "New Issue" Rules
A FINRA proposal to amend Rule 5130 ("Restrictions on the Purchase and Sale of Initial Equity Public Offerings") and Rule 5131 ("New Issue Allocations and Distributions")
United States
13 Aug 2019
15
Reg. Tracker: August 1 To August 15 (2019)
The Cabinet Regulatory Tracker is a list of comment deadlines and effective dates.
United States
9 Aug 2019
16
CFTC Chair Heath Tarbert Names New Directors To Leadership Team
CFTC Chair Heath P. Tarbert named Summer K. Mersinger as Director of the Office of Legislative and Intergovernmental Affairs and Suyash G. Paliwal as Director of the Office of International Affairs.
United States
9 Aug 2019
17
SEC Codifies Exemption To Rating Agency Disclosure Obligations
The final rule will become effective 30 days after publication in the Federal Register.
United States
9 Aug 2019
18
FRB Will Upgrade U.S. Payment System To Provide Interbank Settlements In Real Time
The Federal Reserve Board ("FRB") will upgrade the U.S. payment system to provide payment-by-payment interbank settlements in real time (i.e., real-time gross settlements or "RTGS").
United States
8 Aug 2019
19
CFTC Chief Innovation Officer And Director Of LabCFTC To Leave Agency In August
Daniel Gorfine, the Chief Innovation Officer and Director of the LabCFTC initiative will leave the CFTC in mid-August of 2019.
United States
8 Aug 2019
20
Broker-Dealer Settles FINRA Charges For Late Trade Reporting
A broker-dealer settled FINRA charges for the delayed reporting of municipal securities transactions.
United States
8 Aug 2019
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