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Cadwalader, Wickersham & Taft LLP
 
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By Cadwalader, Wickersham & Taft LLP
FINRA President and CEO Robert Cook emphasized the need for FINRA to adapt and make progressive changes in response to an evolving financial industry.
By Steven Lofchie
Hedge fund Omega Advisors ("Omega") and firm manager Leon G. Cooperman agreed to settle insider trading charges and beneficial ownership reporting violations.
By Cadwalader, Wickersham & Taft LLP
The Managed Funds Association ("MFA") summarized its regulatory priorities and advocated an approach that "protects investors, enhances regulatory coordination, promotes market transparency and increases market fairness and efficiency."
By Cadwalader, Wickersham & Taft LLP
FINRA issued an updated Investor Alert on crowdfunding rules and processes (see previous coverage).
By Cadwalader, Wickersham & Taft LLP
FINRA proposed amending FINRA Rule 7730 ("Trade Reporting and Compliance Engine") ("TRACE") to begin offering an "End-of-Day TRACE Transaction File," which would allow market participants...
By Cadwalader, Wickersham & Taft LLP
According to a Wall Street Journal report, the SEC may reevaluate a decision by the Division of Markets and Trading to approve a proposed rule change that permits the listing and trading of...
By Cadwalader, Wickersham & Taft LLP
The MSRB will institute continuing education ("CE") requirements (see previous coverage) that obligate municipal advisors to "remain current in their industry knowledge."
By Cadwalader, Wickersham & Taft LLP
CFTC Chief of Staff Mike Gill discussed CFTC Acting Chair J. Christopher Giancarlo's commitment to reviewing rules that might hinder market growth and liquidity, and to do away with those that are...
By Steven Lofchie
The CFTC launched "LabCFTC," an initiative designed to "promot[e] responsible FinTech innovation to improve the quality, resiliency, and competitiveness of the markets the CFTC oversees."
By Joseph Facciponti
Beginning on May 12, 2017, unidentified hackers launched a massive cyberattack using ransomware known as "WannaCry" that compromised over 200,000 computers across the world.
By Cadwalader, Wickersham & Taft LLP
The SEC Office of Investor Education and Advocacy ("OIEA") issued an Investor Bulletin to "educate investors about a new investing opportunity in the form of securities-based crowdfunding."
By Cadwalader, Wickersham & Taft LLP
FINRA proposed a change to FINRA Rule 6433 ("Minimum Quotation Size Requirements for OTC Equity Securities") that would extend the Tier Size Pilot Program for OTC equity securities...
By Joseph Facciponti, Joseph Moreno
Last week's massive ransomware attack should serve as a wake-up call that companies across all industries and regions must take the threat of global cyber attacks seriously.
By Cadwalader, Wickersham & Taft LLP
The CFTC Division of Clearing and Risk granted an extension of no-action relief to the Shanghai Clearing House ("SHCH") (see previous coverage of the original relief) from registration...
By Cadwalader, Wickersham & Taft LLP
The SEC Division of Corporate Finance granted no-action relief to technology company Yahoo! Inc. ("Yahoo") from tender offer requirements under Exchange Act Rules 13e-4(d)(1), 13e-4(e)(3)...
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