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United States: Reg. Tracker: December 1 To December 15 (2021) - Cadwalader, Wickersham & Taft LLP

The Cabinet Regulatory Tracker is a list of comment and reporting deadlines.
Tags: News, United States, Cadwalader Wickersham, Taft LLP, Cabinet Regulatory Tracker, Reg Tracker


United States: Comment Deadline Set For FINRA Proposal To Expand TRACE Reporting Exemptions - Cadwalader, Wickersham & Taft LLP

The SEC published in the Federal Register a FINRA proposal to expand the scope of the current exemption from trade reporting obligations.
Tags: News, United States, SEC, FINRA, Cadwalader Wickersham, Taft LLP


United States: Dec 1: It's All Good - Cadwalader, Wickersham & Taft LLP

Treasury Secretary and Fed Chair testify on post-pandemic recovery.
Tags: News, United States, Treasury, Fed Chair, Taft LLP


United States: What's In A Name? Court Holds That Despite Its Title, A Security Agreement Also Subordinated Junior Creditor's Rights To Payment - Cadwalader, Wickersham & Taft LLP

On October 29, 2021, Judge Laura Taylor Swain, the presiding judge in the Puerto Rico bankruptcy case, ruled that approximately $2 billion in intragovernmental loan claims were subordinated to bonds...
Tags: News, United States, Puerto Rico, Laura Taylor Swain, Cadwalader Wickersham, Taft LLP


UK: The UK's Autumn Budget 2021: Implications For Real Estate - Cadwalader, Wickersham & Taft LLP

Set out below are items which we think are of most interest to Cadwalader's clients in the real estate industry.
Tags: UK, News, Cadwalader, Taft LLP, Real Estate Cadwalader Wickersham


United States: Refinitiv Launches Cash Fallbacks For LIBOR Transition - Cadwalader, Wickersham & Taft LLP

The firm's consumer cash fallbacks are slated to launch on January 3, 2022, and are awaiting final approval.
Tags: News, United States, Cadwalader Wickersham, Taft LLP


United States: ARRC Issues Addendum Addressing SOFR In ABS Products - Cadwalader, Wickersham & Taft LLP

The ARRC sought to provide additional guidance to determine how ABS products could employ in-arrears payment structures.
Tags: News, United States, Cadwalader Wickersham, Taft LLP, ARRC


United States: Treasury Secretary And Fed Chair Testify On Post-Pandemic Recovery - Cadwalader, Wickersham & Taft LLP

At a hearing on CARES Act oversight before the U.S. Senate Committee on Banking, Housing and Urban Affairs, Treasury Secretary Janet Yellen and...
Tags: News, United States, Treasury, Janet Yellen, Cadwalader Wickersham, Taft LLP


Worldwide: "Sustainable" Companies Face Increased Pressure To Justify The Sustainability Label Amid Investor Challenges And Demands For Greater Risk Assessment And Disclosure - Cadwalader, Wickersham & Taft LLP

The recent IPO for Rivian Automotive Inc., the electric pick-up truck manufacturer whose shares increased 29% on the day following the offering, resulting in an enterprise valuation of more than $86 billion....
Tags: News, Cadwalader Wickersham, Taft LLP, Rivian Automotive Inc


United States: Nov 30: Fall Back, Spring Forward - Cadwalader, Wickersham & Taft LLP

SEC staff issues guidance on "spring-loaded" compensation. NY Fed launches Central Banking Innovation Center. NFA proposes amendments to financial reporting requirements for SEC-registered SDs.
Tags: News, United States, SEC, Cadwalader Wickersham, NY Fed, Taft LLP, Central Banking Innovation Center NFA


United States: OFAC Extends Authorization Of Specified Transactions Involving Sanctioned Venezuelan Entity - Cadwalader, Wickersham & Taft LLP

OFAC amended a general license authorizing certain transactions and activities involving Petróleos de Venezuela, S.A. The authorized transactions are necessary for the maintenance or the wind down of operations...
Tags: News, United States, Cadwalader Wickersham, OFAC, Taft LLP


United States: Firm Settles NYSE American Charges For Anticipatory Hedging - Cadwalader, Wickersham & Taft LLP

A firm settled NYSE American charges for engaging in anticipatory hedging after acquiring undisclosed information regarding an imminent option transaction...
Tags: News, United States, Nyse, Taft LLP


United States: NY Fed Launches Central Banking Innovation Center - Cadwalader, Wickersham & Taft LLP

The Federal Reserve Bank of New York launched a New York Innovation Center "to validate, design, build, and launch new financial technology products and services for the central bank community."
Tags: New York, News, United States, Federal Reserve Bank of New York, Taft LLP


United States: NFA Proposes Amendments To Financial Reporting Requirements For SEC-Registered SDs - Cadwalader, Wickersham & Taft LLP

NFA proposed amendments to its financial reporting requirements for swap dealers ("SDs") that are also subject to SEC financial reporting requirements.
Tags: News, United States, SEC, NFA, Cadwalader Wickersham, Taft LLP


United States: Subject To Change? - Cadwalader, Wickersham & Taft LLP

In recent decades, economic sanctions have emerged as a critical, and sometimes favorite, tool of foreign policy for U.S. presidents and lawmakers of both political parties. With the recent release of the
Tags: News, United States, Cadwalader Wickersham, Taft LLP


United States: Nov 29: What's New, What's Not - Cadwalader, Wickersham & Taft LLP

Federal Reserve issues supervision guidance on LIBOR transition.
Tags: News, United States, Federal Reserve, Taft LLP, Not Cadwalader Wickersham


European Union: Eurosystem Approves Framework For Overseeing Electronic Payments - Cadwalader, Wickersham & Taft LLP

The European Central Bank approved a new oversight framework for electronic payment instruments, including payments with digital assets.
Tags: News, European Union, European Central Bank, Cadwalader Wickersham, Taft LLP


Worldwide: OFAC Amends Syria Sanctions Regulations To Authorize Certain NGO Activities - Cadwalader, Wickersham & Taft LLP

OFAC adopted a final rule amending a General License ("GL") in the Syrian Sanction Regulations.
Tags: News, Cadwalader Wickersham, OFAC, Taft LLP


United States: NFA Proposes Amendments To Branch Office Manager Examination Requirement - Cadwalader, Wickersham & Taft LLP

NFA filed with the CFTC proposed amendments to NFA Compliance Rule 2-7.
Tags: News, United States, Cftc, NFA, Cadwalader Wickersham, Taft LLP


United States: Broker-Dealer Settles Suitability Charges For ETF And Options Trading Violations - Cadwalader, Wickersham & Taft LLP

FINRA charged the broker-dealer with failing to develop appropriate oversight procedures for sales of non-traditional exchange trade products.
Tags: News, United States, FINRA, Taft LLP


United States: Federal Reserve Issues Supervision Guidance On LIBOR Transition - Cadwalader, Wickersham & Taft LLP

The Federal Reserve issued "Supervision FAQs on the Transition away from LIBOR."
Tags: News, United States, Federal Reserve, Wickersham, Taft LLP


United States: Bad Boy Broker-Dealer Settles FINRA Charges For Failure To Tape Calls - Cadwalader, Wickersham & Taft LLP

A broker-dealer and its principal settled FINRA charges for negligent misrepresentations, omissions and supervisory failures concerning the offering of promissory notes issued by its parent company.
Tags: News, United States, FINRA, Cadwalader Wickersham, Taft LLP


United States: Broker-Dealer Settles FINRA Charges For Mishandling Customer Limit Orders - Cadwalader, Wickersham & Taft LLP

A broker-dealer settled FINRA charges for failing to immediately display customer limit orders and for related supervisory violations.
Tags: News, United States, FINRA, Taft LLP


United States: IOSCO Recommends Increased Oversight Of ESG Ratings And Data Product Providers - Cadwalader, Wickersham & Taft LLP

IOSCO offered a set of recommendations addressing ESG ratings and data product providers.
Tags: News, United States, Taft LLP, IOSCO


United States: Deadline Set For CFTC Comment Request On IBOR-Related Swap Clearing Requirement - Cadwalader, Wickersham & Taft LLP

The CFTC published in the Federal Register a request for information and comment on potential modifications to CFTC Rule 50.4 to address benchmark reform.
Tags: News, United States, Cftc, Cadwalader Wickersham, Taft LLP


United States: Comment Deadline Set For SEC Proposed Changes To EDGAR Filing Requirements - Cadwalader, Wickersham & Taft LLP

An SEC proposal to expand the electronic filing requirements under the EDGAR system was published in the Federal Register.
Tags: News, United States, SEC, Cadwalader Wickersham, Taft LLP


United States: Deadline Set For CFPB Comment Request On Implementation Of HMDA - Cadwalader, Wickersham & Taft LLP

The CFPB published in the Federal Register its request for comment on Regulation C, which implements the Home Mortgage Disclosure Act.
Tags: News, United States, CFPB, Taft LLP, HMDA Cadwalader Wickersham


United States: OCC Clarifies Permitted Bank Cryptocurrency Activities - Cadwalader, Wickersham & Taft LLP

In Interpretive Letter 1179, the OCC clarified the authority of (i) banks to engage in cryptocurrency activities and (ii) the OCC to charter national trust banks.
Tags: News, United States, OCC, Taft LLP


Worldwide: ECB Issues Report On Climate And Environmental Risk Management - Cadwalader, Wickersham & Taft LLP

In a new report, the European Central Bank highlighted "good practices" for climate and environmental risk management in the banking sector.
Tags: News, European Central Bank, Cadwalader Wickersham, Taft LLP


United States: Banking Agencies Offer Roadmap On Crypto-Asset Regulation - Cadwalader, Wickersham & Taft LLP

The Federal Reserve Board, FDIC and OCC offered a roadmap to clarify the regulation of activities involving crypto-assets.
Tags: News, United States, OCC, Taft LLP, Federal Reserve Board FDIC



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