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On October 8, 2019, the U.S. Treasury Department and IRS issued proposed regulations confirming that transitions from LIBOR and other interbank offered ...

The LSTA published an Excel version of its ESG borrower due diligence questionnaire, the latest step in an asset manager ESG diligence initiative that started in June 2021...

A number of Congressional Democrats called on the Federal Reserve Board ("FRB") to maintain capital requirements for global systemically important banks ("G-SIBs").

Representative settles FINRA charges for registration form filing deficiencies. FTC seeks comment on draft of 2022-2026 strategic plan.

A mortgage loan servicer agreed to pay a $100,000 fine to settle charges, brought by the New York State Department of Financial Services ("NYDFS") for failure to register ...

The North American Securities Administrators Association ("NASAA") waived Investment Adviser Registration Depository ("IARD") system fees for investment adviser firms.

The size of the NAV loan market currently measures around $100 billion and is poised to grow to $700 billion by 2030, according to an estimate from 17Capital cited in a Bloomberg article this week.

Mr. Berkovitz was previously a partner and Co-Chair of the Futures and Derivatives Practice at Wilmer Cutler Pickering Hale and Dorr LLP.

Brian Quintenz was sworn in as a Commissioner of the CFTC. Mr. Quintenz was confirmed unanimously by the U.S. Senate on August 3, 2017 (see previous coverage).

The Federal Reserve Bank of New York named Michael Held executive vice president, head of the Legal Group and general counsel.

The NFA's Board of Directors approved an annual dues surcharge of $1,750 on specific member firms engaged in swaps activities.

The NFA reported that its Board of Directors (the "Board") re-elected Michael C. Dawley of Goldman Sachs & Co. to serve an additional one-year term as Chair and Maureen C. Downs of Phillip Capital, Inc. to serve as Vice Chair.

The NFA Board of Directors reelected Michael C. Dawley as Chair. Mr. Dawley of Goldman Sachs & Co. will serve a one-year term.

The NFA provided a list of holiday filing requirements for swap dealers ("SDs") between December 2018 and December 2019.

The National Futures Association ("NFA") reminded swap dealer registrants of their regulatory reporting requirements in the midst of the coronavirus pandemic.

NFA requested nominations to fill five Public Representative positions for the NFA's Board of Directors.

Regarding the failure to supervise charge, the NFA faulted the IB for allowing two associated persons to solicit business from their home offices without listing the homes as branch offices.