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By Cadwalader, Wickersham & Taft LLP
FINRA released a content outline for the new Securities Industry Essentials ("SIE") examination.
By Cadwalader, Wickersham & Taft LLP
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of January 8 to January 12, 2018.
By Steven Lofchie
The SEC is requesting comment on the collection of information on Form PF ("Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors").
By Cadwalader, Wickersham & Taft LLP
Robert J. Jackson Jr. and Hester M. Peirce were sworn in as SEC Commissioners. Commissioners Jackson and Peirce were confirmed by the U.S. Senate on December 21, 2017.
By Steven Lofchie
At its inaugural meeting, the SEC's Fixed Income Market Structure Advisory Committee ("FIMSAC") discussed bond market liquidity.
By Kyle DeYoung
The U.S. Supreme Court will consider a challenge to the Securities and Exchange Commission (the "Commission") practice of hiring administrative law judges ("ALJs").
By Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker provides a list of upcoming comment deadlines, compliance dates, effective dates, reporting deadlines, and nomination dates.
By Cadwalader, Wickersham & Taft LLP
The SEC named Dr. Timothy Timura as Deputy Director and Deputy Chief Economist in the Division of Economic and Risk Analysis. Dr. Timura will work with SEC Chief Economist Jeffrey H. Harris on economic policy...
By Cadwalader, Wickersham & Taft LLP
FINRA updated certain interpretations of Financial and Operational Rules relevant to the revised standard settlement cycle.
By Cadwalader, Wickersham & Taft LLP
The CFTC approved amendments to National Futures Association ("NFA") rules related to disclosures and price adjustments for forex transactions and 2-43.
By Steven Lofchie
A U.S. District Court judge ruled against Leandra English's request for a preliminary injunction to remove Mick Mulvaney as Acting Director of the Consumer Financial Protection Bureau ("CFPB").
By Stuart Goldstein, Greg Prindle
Whether you were waiting for a "wall" or a "wave" to hit the commercial mortgage-backed securities market last year, 2017 did not deliver the massive amount of CMBS refinancings predicted by many at the end of 2016.
By Cadwalader, Wickersham & Taft LLP
The results from an FDIC Credit and Consumer Products Survey suggest that risk is increasing in the industry.
By Cadwalader, Wickersham & Taft LLP
The Board of Governors of the Federal Reserve System ("FRB") appointed chairs and deputy chairs of all Federal Reserve Banks for 2018.
By Cadwalader, Wickersham & Taft LLP
The FDIC provided a list of forward-looking credit metrics that banks should monitor as part of an effective credit management information system ("MIS").
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