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SEC issues sample letter on climate change disclosures. House Subcommittee considers pandemic-related FRB emergency lending programs. SEC denies exchanges' application for stay of market data plan. SEC grants exemptive relief to three ETFs from tender offer rules. CFPB charges software provider with assisting in unlawful fee collection. MFA seeks clarification as to SECR due diligence obligations. FinCEN seeks comment on regulations to implement BSA provisions on antiquities trading. SEC charges quantitative analyst with $8.5M front-running scheme. SEC charges company executives with conducting a fraudulent securitization scheme. NASAA President announces Board of Directors, sets priorities. Effective date set for NFA amendments to compliance rule on swap dealer trade execution.
By Cadwalader CabinetSEC issues sample letter on climate change disclosures. House Subcommittee considers pandemic-related FRB emergency lending programs. SEC denies exchanges' application for stay of market data plan. SEC grants exemptive relief to three ETFs from tender offer rules. CFPB charges software provider with assisting in unlawful fee collection. MFA seeks clarification as to SECR due diligence obligations. FinCEN seeks comment on regulations to implement BSA provisions on antiquities trading. SEC charges quantitative analyst with $8.5M front-running scheme. SEC charges company executives with conducting a fraudulent securitization scheme. NASAA President announces Board of Directors, sets priorities. Effective date set for NFA amendments to compliance rule on swap dealer trade execution.