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Searching Content indexed under Financial Services by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
FINRA Elects Four New Governors
FINRA elected four new governors to the agency's Board of Governors. The new governors begin their three-year terms effective immediately.
United States
22 Aug 2019
2
Regulators Emphasize Importance Of Capital Investment
In a separate address at the Forum, Ms. Miller stressed the importance to the economy of capital formation and investment in new companies.
United States
22 Aug 2019
3
CFPB Proposes Settlement In Connection With High-Interest Credit Offers
The CFPB and the State of Arkansas proposed a settlement in the United States District Court, Eastern District of Arkansas, against brokers for violations of the Consumer Financial
United States
22 Aug 2019
4
NYDFS Grants Charter For Trust Company To Custody Bitcoin
The New York State Department of Financial Services ("NYDFS") approved the application of a trust company to act as a custodian for Bitcoin.
United States
22 Aug 2019
5
FINRA Reminds Firms Of Potential Municipal Advisor Registration Obligations
In newly issued guidance, FINRA reminded firms doing business with municipalities to implement appropriate supervisory procedures to avoid conducting unregistered municipal advisory activities.
United States
21 Aug 2019
6
CFTC Staff Permits Financial Institution Subsidiary To Act As Swaps Reporting Counterparty
The CFTC Division of Market Oversight ("DMO") granted time-limited relief to an Irish affiliate of a UK-based financial institution to act as reporting counterparty for certain swaps with U.S.
United States
20 Aug 2019
7
Two Companies Settle CFTC Charges Of Wheat Futures Price Manipulation
Two companies agreed to pay $16 million to settle CFTC charges of wheat futures price manipulation. Pursuant to the settlement, the CFTC agreed not to make "any public statement about this case."
United States
20 Aug 2019
8
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
9
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
10
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
11
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
12
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
13
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
14
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
15
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
17
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
18
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
19
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
20
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
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