FINRA tells firms to document reliance on COVID-19 relief. ARRC recommends best practices for LIBOR cessation. Private equity firm settles charges for failures in handling material non-public information. NASAA proposes model whistleblower award and protection act. NYSE reopens trading floor. SEC extends regulatory relief for registered transfer agents.

NASAA President urges Congress to be "skeptical" of regulatory liberalization in response to the pandemic. FINRA penalizes broker-dealer for certain fixed income transaction violations. MSRB directs municipal bond investors to issuer disclosure resources.

SEC Commissioners raise concerns about emerging market risk and ESG disclosures. European Central Bank issues guide for banks on climate-related and environmental risk management. FINRA amends rules to "incentivize payment" of arbitration awards. And more from FINRA, the CFTC, and the National Futures Association.

SEC lessens disclosures requirements as to business acquisitions and dispositions. OCC releases final rule to "strengthen and modernize" regulations under the Community Reinvestment Act. GMAC considers recommendations on margin requirements for non-cleared swaps. OCC Comptroller Otting to step down; temporary replacement named.

President orders agencies to lighten regulations impairing recovery. Industry associations comment on CFTC position limits proposal. CFTC Division of Enforcement sets guidance on civil monetary penalty recommendations. CRS provides information for policymakers on COVID-19 issues. CFPB further extends comment deadline for proposed rule on collection of time-barred debts.

SEC provides relief for broker-dealers acting as agents for TALF. CFTC provides limited relief swaps relief for sales of EU-Listed warrants. CRS examines IP rights abroad, considers state sovereign immunity in copyright suits. SEC designates FINRA as organization to receive SBS entity FOCUS reports. A broker-dealer settles FINRA charges for regulation NMS violations.

The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a 3-minute rundown of emerging developments in financial regulation. To learn more, visit www.cadwalader.com/thecabinet.

The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a 3-minute rundown of emerging developments in financial regulation. To learn more, visit www.cadwalader.com/thecabinet.

The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a 3-minute rundown of emerging developments in financial regulation. To learn more, visit www.cadwalader.com/thecabinet.

The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a 3-minute rundown of emerging developments in financial regulation. To learn more, visit www.cadwalader.com/thecabinet.