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The Federal Trade Commission ("FTC") increased the fees for telemarketing businesses seeking access to the National Do Not Call Registry ("Registry") ...

U.S. prudential regulators, including the Federal Reserve Board, Office of the Comptroller of the Currency, FDIC, Farm Credit Administration and the Federal Housing Finance Agency

The SEC adopted a final rule to impose additional liquidity risk requirements by open-end funds, such as mutual funds and exchange-traded funds.

The SEC adopted a final rule to permit mutual funds to use "swing pricing," which allows funds to redeem investors' holdings at prices that are lower than the going market value of the funds' assets...

The SEC final rule amending Regulation NMS Rules 600(b) and 606 to increase the transparency of broker-dealers' "handling and routing of orders in NMS stock" was published in the Federal Register (see previous coverage).

The SEC approved a FINRA proposal to shorten the standard settlement cycle for most broker-dealer transactions from three business days after the trade date ("T+3") to two business days ("T+2").

The SEC Order that extends temporary relief exempting security-based swap activity from various provisions of the federal securities laws was published in the Federal Register.

The SEC proposed a new rule requiring SEC-registered investment advisers to implement written business continuity and transition plans.

The SEC requested comments on a FINRA proposal that would implement an "anonymous, grouped masking methodology" in order to address confidentiality concerns...

The U.S. Treasury Department Office of the Assistant Secretary for Financial Markets amended certain government securities broker-dealer recordkeeping and reporting rules to conform to recently updated SEC rules for broker-dealers.

U.S. Treasury Department ("Treasury") final rules on reporting certain information in the U.S. repurchase agreement market to the Office of Financial Research ("OFR") ...

The Board of Governors of the Federal Reserve System (the "FRB") voted to affirm the Countercyclical Capital Buffer (CCyB) at the current reserve level of zero percent.

FFA has published photos from the 12th annual Global Fund Finance Symposium in Miami.

Finance Forum 2020 - Riding the ESG Wave Across the Atlantic.

Be sure to listen in to the next installment of the Finance Forum Focus Series which will be released on Wednesday, November 3.

In this installment of our Finance Forum Focus Series, Cadwalader partners Lary Stromfeld and Jeffrey Nagle discuss the latest #LIBOR transition developments...

Leading financial services industry participants and lawmakers from Congress examined the role of the capital markets in funding green initiatives at a SIFMA roundtable.

The FINRA Investor Education Foundation announced a new prize program to recognize outstanding service and research to advance investor protection and financial capability.