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By Cadwalader, Wickersham & Taft LLP
Click on the links to view SEC notices of exchange rule changes and proposals for the week of April 9 – April 13.
By Cadwalader, Wickersham & Taft LLP
The SEC awarded more than $2.1 million to a whistleblower who provided information that resulted in "multiple successful enforcement actions."
By Cadwalader, Wickersham & Taft LLP
John E. Smith, Director of the U.S. Treasury Office of Foreign Assets Control ("OFAC"), will leave his position in early May.
By Cadwalader, Wickersham & Taft LLP
As described more fully in a Cadwalader memorandum, the plaintiffs alleged that the acquisition benefited SolarCity stockholders to the detriment of Tesla stockholders.
By Steven Lofchie
Ms. Peirce advised the international organizations to harmonize regulatory policies that are critically important.
By Jeffrey Robins
ISDA provided guidance for firms that are preparing to become subject to regulatory initial margin requirements.
By Steven Lofchie
In advance of the release of a new framework for swaps reform, CFTC Chair J. Christopher Giancarlo declared that the CFTC would return to its "historic character" as a "principles-based regulator."
By Steven Lofchie
A mortgage banker agreed to pay a $5 million fine, following restitution payments of $7 million, to settle charges brought by the New York State Department of Financial Services ("DFS").
By Keith Gerver
The U.S. House Financial Services Subcommittee on Monetary Policy and Trade considered testimony on the proposed Foreign Investment Risk Review Modernization Act ("FIRRMA").
By Cadwalader, Wickersham & Taft LLP
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") granted exemptive relief to a commodity pool operator ("CPO") from the requirement to deliver to pool participants...
By Cadwalader, Wickersham & Taft LLP
The Board of Governors of the Federal Reserve System ("FRB") requested comments on proposed rules that would simplify the capital requirements for large banks.
By Cadwalader, Wickersham & Taft LLP
An SEC-registered broker-dealer and FINRA member, agreed to pay a $1.575 million fine to settle charges from FINRA and several exchanges for violations Exchange Act Rule 15c3-5 (the "Market Access Rule").
By Steven Lofchie
The SEC Division of Trading and Markets clarified the applicability to broker-dealers and third-party service providers of certain Exchange Act recordkeeping requirements.
By Cadwalader, Wickersham & Taft LLP
SEC Commissioners Michael S. Piwowar and Hester M. Peirce (collectively, "Commissioners") disagreed with the SEC determination not to increase the $50 million offering limit set under Regulation A.
By Steven Lofchie
In testimony before the SBC, CFPB Acting Director Mick Mulvaney outlined his recommendations for curbing the power and authority of the CFPB. Mr. Mulvaney addressed recent recommendations...
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