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Searching Content indexed under Charges, Mortgages, Indemnities by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
Broker-Dealers Settle Charges For Misuse Of Pre-Released ADRs
Two broker-dealers settled separate SEC charges (see here and here) for improperly obtaining the pre-release of American Depositary Receipts ("ADRs") that the firms should
United States
22 Aug 2019
2
Federal Register: CFPB Proposes Revisions To Qualified Mortgage Definition
A CFPB proposal to change the definition of qualified mortgage in Regulation Z under the Ability to Repay/Qualified Mortgage Rule was published in the Federal Register.
United States
6 Aug 2019
3
CFPB Requests Comments On Proposed Revisions To Qualified Mortgage Definition
In advance of the expiration of a temporary qualified mortgage provision (the "GSE Patch") in the Ability to Repay/Qualified Mortgage Rule, the CFPB is considering amending the definition of "qualified mortgage" in Regulation Z.
United States
5 Aug 2019
4
Export Company Executive Pleads Guilty To DOJ Charges For Violating Iranian Sanctions
An Iranian individual pleaded guilty to DOJ charges for violating the International Emergency Economic Powers Act (IEEPA) and the Iranian Transactions and Sanctions
United States
29 Jul 2019
5
Former Portfolio Manager Settles CFTC Charges For Fraudulently Mismarking Swap Valuations
A former portfolio manager settled CFTC charges for fraudulently mismarking swap valuations to increase his bonus.
United States
26 Jul 2019
6
Broker-Dealer Settles FINRA Trade Reporting Charges Relating To Exercise Of OTC Options
A broker-dealer settled FINRA charges of failing to report transactions arising from the exercise of OTC options, and of related supervisory violations.
United States
25 Jul 2019
7
Korean Commodity Exchange Settles Charges For Failing To Implement Stress Test Findings
A commodity exchange settled CFTC charges for failing to meet stress testing requirements pursuant to a derivatives clearing organization registration exemption.
United States
25 Jul 2019
8
Broker-Dealer Settles Multiple State Charges Of Selling Unregistered Securities
A broker-dealer settled multi-state charges, coordinated by the North American Securities Administrators Association ("NASAA"), for selling unregistered non-exempt securities.
United States
25 Jul 2019
9
ARRC Recommends LIBOR Fallback Language For New Closed-End, Residential Adjustable-Rate Mortgages
The Alternative Reference Rates Committee ("ARRC") provided recommended fallback contract language for new closed-end, residential adjustable-rate mortgages ("ARMs") that reference U.S. dollar LIBOR.
United States
23 Jul 2019
10
Broker-Dealer Settles FINRA Charges Of Violating Order Protection Rule
A broker-dealer settled FINRA charges of failure to prevent trade-throughs of protected quotations in national market system ("NMS") stocks
United States
11 Jul 2019
11
CFPB Extends Comment Deadline On HMDA Data Point Information
The CFPB extended the comment period for information concerning the costs and benefits of certain data reporting points under the Home Mortgage Disclosure Act
United States
11 Jul 2019
12
Broker-Dealer Settles FINRA Charges Of Initial Margin Interest Rate Disclosure Failures
A broker-dealer agreed to pay $250,000 to settle FINRA charges that it failed to provide customers with initial margin interest rate disclosures under Exchange Act Rule 10b-16
United States
11 Jul 2019
13
Bank Settles SEC Charges In Connection With Hidden Fees
A bank settled SEC charges in connection with overcharging mutual funds and registered investment company clients for expenses relating to the custody of client assets.
United States
11 Jul 2019
14
Firm Settles CFTC Spoofing Charges
A financial institution settled CFTC charges of spoofing, manipulation and the attempted manipulation of certain precious metals futures contracts.
United States
9 Jul 2019
15
Broker-Dealer Settles FINRA Charges For Failing To Maintain Supervisory System For Mutual Fund Switches
A broker-dealer agreed to pay $75,000 to settle FINRA charges for failing to sufficiently monitor mutual fund switches.
United States
8 Jul 2019
16
House Democrats Criticize Proposed Changes To HMDA Rules
Sixty-five Democratic representatives called on CFPB Director Kathy Kraninger to rescind a recent proposal that would reduce the amount of lending information collected under the Home Mortgage
United States
26 Jun 2019
17
Mortgage Servicer Settles CFPB Charges For Violating TILA, CFPA And RESPA
BSI Financial Services ("BSI"), a mortgage servicer, agreed to settle CFPB charges for violating the Truth in Lending Act.
United States
14 Jun 2019
18
Senate Banking Committee Considers Framework For Housing Reform Legislation
The U.S. Senate Committee on Banking, Housing and Urban Affairs (the "Committee") heard testimony from various witnesses on Chair Mike Crapo's (R-IA) proposed framework for housing reform legislation.
United States
9 Apr 2019
19
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
20
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
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