SEC seeks comment on potential money market fund reform measures. Firm settles FINRA charges for internal inspection violations. FTC, DOJ implement temporary suspension of early termination grants for HSR filings. SEC names Acting Deputy Director of Enforcement.

SIFMA adds new MSRB model disclosure documents. SEC amends authority to administer EDGAR. Firm settles FINRA charges for failure to properly screen non-registered APs. Executives settle SEC charges for accounting violations. Effective date set for FRB amendments to capital planning requirements.

FINRA identifies 2021 risk monitoring and examination priorities. Appellate Court dismisses claim against FTC statutory structure. Firm settles FINRA charges for failing to put investor funds in escrow. Firm settles FINRA charges for failing to detect potential trade-throughs. FinCEN publishes BSA-related FAQs on second draw PPP loans. OFAC authorizes certain Venezuela-related transactions necessary for port and airport operations.

SEC Commissioner Peirce proposes priorities for small business capital formation advisory committee. SEC acting Chair Lee names executive staff. CFTC charges trader with manipulation of interest rate swap spreads. Effective date set for SEC rule to exempt certain SBSEFs and SBSDs from registering as clearing agencies. SEC names Division of Corporation Finance Acting Director. Cadwalader Clients & Friends Memo: First Circuit Case Doesn’t Move the Line on the Future of State Authorized Sports Betting.

BlackRock encourages companies to increase ESG disclosures. SIFMA urges SEC to pause finalization of proposed personal data requirements for CAT. CFPB Acting Director prioritizes COVID-19-related relief and racial equity. Businessman settles DOJ foreign bribery and money laundering charges. ARRC recommends SOFR conventions for intercompany loans. MSRB analyzes effects of COVID-19 on municipal bond market.

Janet L. Yellen sworn in as new Treasury Secretary. OFAC authorizes certain time-limited transactions involving Houthi militia. Firm settles FINRA charges for supervision and employee screening failures. President Biden designates new NCUA Board Chair. Cadwalader Client & Friends Memo: You Can Run But You Can’t Hide: The Corporate Transparency Act.

DOJ Antitrust Division AAG proposes new SRO for digital markets. SEC names Division of Enforcement Acting Director. NFA extends COVID-19-related relief to FCMs and IBs from recordkeeping requirements. NFA issues final reminder to comply with swaps proficiency requirements. SEC names acting Chief Accountant. Effective date for CFTC amendments to uncleared swap margin requirements set for February 24.

New York Governor includes LIBOR provisions in budget proposal legislation. U.S. Senate Finance Committee advances nomination for Treasury Secretary. Comment deadline set for OCC proposal to allow exemptions from SAR requirements. FRB approves reappointment of Federal Reserve Bank presidents. Cadwalader Client & Friends Memo: Stand Pat, Don’t Act: Supreme Court Holds That Mere Retention of Debtor Property Does Not Violate Section 362(a)(3) of the Bankruptcy Code’s Automatic Stay Provision.

President Joseph R. Biden begins tenure with regulatory freeze. OFAC issues Yemeni counter terrorism-related designation. Broker-dealer settles FINRA charges for supervisory failures over RMBS transactions. NFA permits online testing for futures industry proficiency examinations. NFA provides guidance on affirmation obligations for CPO/CTA exempt entities. Heath Tarbert steps down as CFTC chair; Commissioner Behnam named Acting Chair.

Agencies issue FAQs on SAR filings for covered financial institutions. CFTC staff extends COVID-19-related no-action relief. Firm settles FINRA charges for violating private placement content standards. CFPB sues mortgage originator for unlawful practices. CFPB adopts exemption on escrow accounts for higher-priced mortgage loans.