Contributor Page
Cadwalader, Wickersham & Taft LLP
 
Email  |  Website  |  Articles
Contact Details
Tel: +1 212 5046000
Fax: +1 212 5046666
200 Liberty Street New York
New York
NY 10281
United States
Awards
Contributor Most Read
Contributor Most Read
Contributor Most Read
Contributor Most Read
By Cadwalader, Wickersham & Taft LLP
To do so, he said, required consideration of how a best interest standard would interact with a wide range of products, services and types of advice.
By Cadwalader, Wickersham & Taft LLP
The CFTC expects exchanges to enter into information-sharing agreements with spot markets for virtual currency products in order to facilitate access to trade data.
By Mark Chorazak
The legislation, which awaits President Trump's signature, is the first major rollback of the Dodd-Frank Act.
By Cadwalader, Wickersham & Taft LLP
FINRA will amend its disclosure review procedure to more effectively assist member firms researching prospective hires as associated persons.
By Cadwalader, Wickersham & Taft LLP
The SEC published for comment a proposed FINRA rule change that would implement fees for the late cancellation of a prehearing conference.
By Cadwalader, Wickersham & Taft LLP
FINRA proposed a rule change with the SEC to modify the structure and governance of District Committees to reflect the regions in which FINRA's districts are administratively grouped and managed by FINRA.
By Steven Lofchie
CFTC Chair J. Christopher Giancarlo and North American Securities Administrators Association ("NASAA") President Joseph P. Borg signed an agreement to share ...
By Cadwalader, Wickersham & Taft LLP
President Donald J. Trump issued an Executive Order ("E.O") prohibiting certain financial transactions with the government of Venezuela.
By Cadwalader, Wickersham & Taft LLP
State and provincial securities regulators in the United States and Canada launched a large-scale, coordinated enforcement effort to crack down on fraudulent Initial Coin ...
By Cadwalader, Wickersham & Taft LLP
Click on the links to view SEC notices of exchange rule changes and proposals for the week of May 14 to May 18, 2018.
By Cadwalader, Wickersham & Taft LLP
The comment period, which was originally set to expire on May 21, was extended to June 25, 2018.
By Cadwalader, Wickersham & Taft LLP
He found that Mr. Atilla was unlikely to commit another crime, and that he had been a minor and somewhat reluctant participant in the conspiracy to evade sanctions.
By Cadwalader, Wickersham & Taft LLP
The CFTC noted that the exemption does not extend to swaps transactions.
By Cadwalader, Wickersham & Taft LLP
This outcome, he argued, would increase the flow of capital, which should be the goal of regulators.
By Steven Lofchie
The MSRB stated that it proposed the Rule in order to improve consistency with other regulators and to clarify the applicable requirements.
Contributor's Topics
More...