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2,946 results found

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Cadwalader Wickersham & Taft LLP | USA | 26 May 2020

NASAA President Urges Congress to Be "Skeptical" of Regulatory Liberalization in Response to the Pandemic

North American Securities Administrators Association ("NASAA") President Christopher Gerold urged Congress to be "very skeptical" of legislative…
Article

Cadwalader Wickersham & Taft LLP | USA | 26 May 2020

Beware of Pushing the 'Defeasance Button' Too Soon

One of the rights a borrower has in a fixed-rate CMBS loan transaction in lieu of prepayment is called defeasance. In general, defeasance allows the…
Article

Cadwalader Wickersham & Taft LLP | USA | 26 May 2020

“Caveat Emptor”: New York Bankruptcy Court Disallows Bankruptcy Claims Purchased from Recipients of Avoidable Transfers; Is Enron Going, Going, . . . ?

A recent Bankruptcy Court decision, In re Firestar Diamond, Inc., out of the Southern District of New York (“SDNY”) by Bankruptcy Judge Sean H. Lane…
Article

Cadwalader Wickersham & Taft LLP | USA | 26 May 2020

COVID-19 Update: Governor Cuomo Extends Eviction and Foreclosure Moratorium and Allows Tenants to Apply Security Deposits to the Payment of Rent

On May 7, 2020, New York State Governor Andrew Cuomo issued Executive Order 202.28 (the “New Order”) to provide additional relief to renters impacted…
Article

Cadwalader Wickersham & Taft LLP | USA | 26 May 2020

FINRA Penalizes Broker-Dealer for Certain Fixed Income Transaction Violations

A broker-dealer settled FINRA charges for executing non-bona-fide fixed income transactions and related supervisory failures. According to FINRA, the…
Article

Cadwalader Wickersham & Taft LLP | USA | 22 May 2020

FINRA Asks Members for Views on Security-Based Swap Activities

As highlighted last week in connection with FOCUS report filing, the role of FINRA in SBS regulation is an open question. FINRA's request for comment…
Article

Cadwalader Wickersham & Taft LLP | USA | 22 May 2020

COVID-19 Update: NYSE and Nasdaq Adopt Temporary Exceptions to Certain Shareholder Approval Requirements

The NYSE and Nasdaq continue to provide temporary relief from certain of their listing and corporate governance requirements amid the market…
Article

Cadwalader Wickersham & Taft LLP | USA | 22 May 2020

CFTC Highlights Risks of Commodity ETP and Fund Investments

The CFTC highlighted the risks of investing in commodity-related exchange-traded products ("ETPs") or funds ("ETFs") and encouraged investors to…
Article

Cadwalader Wickersham & Taft LLP | USA | 22 May 2020

SEC Commissioners Raise Concerns about Emerging Market Risk and ESG Disclosures

At an Investor Advisory Committee meeting, SEC Chair Jay Clayton and SEC Commissioner Hester M. Peirce raised issues (see here and here) concerning…
Article

Cadwalader Wickersham & Taft LLP | USA | 22 May 2020

Federal Register: SEC Adopts Measures to Facilitate Implementation of CAT

The SEC amendments to facilitate the implementation of the Consolidated Audit Trail ("CAT") and impose public transparency and financial…
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