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Cadwalader, Wickersham & Taft LLP
 
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By David Teigman, Nick LaSpina
Another important issue addressed by the Notice is the interpretation of the amendments made to the definition of "covered employee."
By Cadwalader, Wickersham & Taft LLP
The Depository Trust & Clearing Corporation ("DTCC") identified continuing post-crisis risks and emerging threats and offered recommendations to improve the financial stability of the global financial industry.
By Steven Lofchie
FINRA reminded firms of trade reporting requirements when effecting OTC trades in equity securities on a "net basis."
By Dorothy Mehta
In anticipation of an SEC Staff Roundtable on the proxy process, the SEC Division of Investment Management staff withdrew two no-action letters from 2004 regarding the Proxy Voting Rule.
By Cadwalader, Wickersham & Taft LLP
The FDIC requested comments on a proposed rule that would allow certain insured depository institutions to be exempt from the requirement to treat reciprocal deposits as brokerage deposits.
By Cadwalader, Wickersham & Taft LLP
FINRA will update the Regulatory Extension ("REX") system to amend the process for soliciting extensions of time required under certain parts of Exchange Act Rule 15c3-3 ("Customer Protection Rule")...
By Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to pay $2.75 million to settle SEC charges for failing to submit accurate and complete securities trading information on electronic blue sheets ("EBS").
By Steven Lofchie
SEC Chair Jay Clayton confirmed the SEC's "longstanding position" that staff statements to SEC-regulated institutions or stakeholders regarding rules or regulations are non-binding.
By James Treanor
President Donald J. Trump signed an Executive Order ("E.O."), dated September 12, 2018, directing intelligence and law enforcement agencies to assess foreign interference in U.S. elections, ...
By Cadwalader, Wickersham & Taft LLP
Elad L. Roisman was sworn in as SEC Commissioner. Mr. Roisman was confirmed by the U.S. Senate on September 5, 2018.
By Joseph Moreno
The U.S. District Court of the Eastern District of New York ruled that virtual currencies issued through an initial coin offering ("ICO") may constitute securities under the Securities Act and Exchange Act.
By James Treanor
A Connecticut-based multinational corporation agreed to pay $13.9 million to settle SEC charges for violating the anti-bribery, books and records, and internal controls provisions of the Foreign Corrupt Practices Act.
By Cadwalader, Wickersham & Taft LLP
The SEC charged a hedge funder adviser, his investment advisory firm and a Delaware-based company in a scheme to manipulate a stock price.
By Kyle DeYoung
The SEC filed charges against a New Jersey-based broker for allegedly misusing his access to customers' brokerage accounts to enrich himself and two of his family members at the expense of his customers.
By Steven Lofchie
Several Democratic members of Congress called upon SEC Chair Jay Clayton to amend proposed Regulation Best Interest to require a uniform fiduciary standard for all broker-dealers and investment advisers.
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