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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
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
2
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
3
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
4
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
6
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
7
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
8
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
9
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
10
NY State Supreme Court Upholds NYDFS "Best Interest" Regulation
The New York State Supreme Court recently ruled that the New York Department of Financial Services ("DFS") had the authority to enact an amendment to its rules
United States
13 Aug 2019
11
NCUA Renames Office Of Public And Congressional Affairs
On August 8, 2019, the National Credit Union Administration ("NCUA") renamed the "Office of Public and Congressional Affairs.
United States
13 Aug 2019
12
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
13
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
14
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
15
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
16
CFPB Highlights Analysis On The Use Of Non-Traditional Data In Credit Process
The CFPB highlighted the results of an analysis comparing the uses of traditional and non-traditional sources of information by consumers in the credit process.
United States
9 Aug 2019
17
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
18
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
19
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
20
Trader Settles CME Group Charges For Spoofing-Related Violations
A trader settled Commodity Exchange ("COMEX") and New York Mercantile Exchange ("NYMEX") charges (see here and here) for violating spoofing-related rules.
United States
8 Aug 2019
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