Municipal bonds research and analysis is now available on the Cadwalader Cabinet. The new topic pages are intended to help subscribers navigate municipal securities requirements.

The CFTC Division of Swap Dealer and Intermediary Oversight provided time-limited no-action relief to a firm and its employees from certain registration requirements.

The SEC formed an Asset Management Advisory Committee with an initial two-year term beginning on November 1, 2019.

IOSCO examined members regulators' progress toward implementing suitability standards designed to prevent the mis-selling of complex financial products.

An individual settled SEC charges for failing to register as an investment adviser and making material misrepresentations to clients concerning the value of assets under his management.

NFA permanently barred a CTA and its principal for providing false information and failing to cooperate with an NFA examination.

Two investment adviser subsidiaries settled SEC charges for failing to disclose conflicts of interest and making misleading disclosures to the funds they advised.

The SEC provided separate small-entity guides for broker-dealer compliance with the Client Relationship Summary and Regulation Best Interest.

The SEC sued an investment advisory firm, and its principal and sole owner, for breach of fiduciary duty and defrauding advisory clients.

A chief compliance officer of an investment firm settled CFTC charges for fraudulently soliciting investments in commodity pools and misappropriating investor funds.