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The Hart-Scott-Rodino Act (HSR or HSR Act) requires parties to transactions that meet specified dollar thresholds and do not fall within an exemption to notify the antitrust agencies...

On January 25, 2022, the IRS and Treasury proposed regulations that would treat U.S. partners, instead of their partnerships, as PFIC shareholders for making qualified electing fund...

SIFMA, DTCC and ICI to shorten U.S. securities settlement cycle. ISDA assesses regulatory considerations for sustainability-linked derivatives. FFIEC updates Bank Secrecy Act/AML Examination Manual.

Here is a rundown of some of Cadwalader's recent work on behalf of clients.

Here is a rundown of some of Cadwalader's recent work on behalf of clients.

SEC, NASAA, and FINRA Offer Free Resource to Securities Firms to Assist in Detection, Prevention and Reporting of Financial Exploitation of Seniors.

The Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System and the FDIC requested comments on a proposed rule...

The Democratic Caucus approved Representative Maxine Waters to serve as House Financial Services Committee Chair in the 116th Congress.

In an Investor Alert, FINRA and the SEC Office of Investor Education and Advocacy cautioned investors on the risks associated with "social sentiment investing tools".

In an address at the Securities Enforcement Forum West, SEC Enforcement Division Director Andrew Ceresney focused on actions against private equity fund advisers.

The SEC Office of Investor Education and Advocacy informed investors about features and potential risks of alternative mutual funds that hold non-traditional investments...

The SEC Division of Investor Education and Advocacy alerted investors to various insurance scams that may arise from recent flooding in and around Louisiana.

She also worked for the House Committee on Appropriations and the Senate Committee on Appropriations.

The Senate confirmed Wally Adeyemo as Deputy Secretary of the Treasury.

FRB Governor Waller supports prudential regulatory framework for stablecoins. Bank regulators adopt rule requiring prompt notification of cyber incidents.

A trader at a proprietary trading firm agreed to settle CFTC charges for "spoofing" (i.e., placing multiple orders without intention to execute) ...

A trader settled Commodity Exchange ("COMEX") and New York Mercantile Exchange ("NYMEX") charges (see here and here) for violating spoofing-related rules.