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By Nihal Patel
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") clarified that "Phase Five" initial margin ("IM")
By Nihal Patel
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") analyzed alternative metrics for calculating the swap dealer ("SD") de minimis threshold.
By Cadwalader, Wickersham & Taft LLP
OFAC designated three Iranian-backed Hizballah political and security figures for using financial and other institutions in Lebanon to support Hizballah's and Iran's malign activities.
By Mark Highman
In a joint statement issued by FINRA and the SEC Division of Trading and Markets (the "Joint Statement"), the agencies highlighted challenges broker-dealers face
By Steven Lofchie
SEC Chair Jay Clayton refuted criticism of the SEC's recently adopted rulemaking package designed to strengthen protections
By Cadwalader, Wickersham & Taft LLP
Cadwalader attorneys analyzed a discussion paper by the Bank of England ("BoE") on exposure related to collateral referencing LIBOR.
By Cadwalader, Wickersham & Taft LLP
SEC Deputy Chief Accountant Julie A. Erhardt will leave the agency after 14 years of service.
By Cadwalader, Wickersham & Taft LLP
Allison H. Lee was sworn in as SEC Commissioner. She replaces former Commissioner Kara Stein.
By Cadwalader, Wickersham & Taft LLP
A former general securities representative settled FINRA charges for unauthorized trading and discretionary decision-making in the accounts of two elderly customers.
By Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to settle FINRA charges of failure to "establish, maintain and enforce a supervisory system, including written supervisory procedures
By Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, compliance dates, effective dates and expiration dates. Click on the links below to view deadlines from July 1, 2019
By Cadwalader, Wickersham & Taft LLP
The FINRA proposal to amend the rule on the collection and distribution of "new issues reference data" for corporate bonds and to charge-associated fees
By Cadwalader, Wickersham & Taft LLP
The FINRA proposal to eliminate certain requirements applicable to research reports on "covered investment funds," in accordance with the Fair Access to Investment Research Act of 2017
By Cadwalader, Wickersham & Taft LLP
The CFTC proposal to codify the agency's process for terminating exemptive relief granted to non-U.S. firms to offer non-U.S. futures and options directly to U.S.
By Cadwalader, Wickersham & Taft LLP
SEC amendments to auditor independence rules were published in the Federal Register. Rule 2-01(c)(1)(ii)(A) of Regulation S-X (the "Loan Provision")
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