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By Cadwalader, Wickersham & Taft LLP
The National Futures Association ("NFA") set October 31, 2018 as the effective date for certain disclosure requirements related to virtual currency activities.
By Cadwalader, Wickersham & Taft LLP
FINRA proposed amending its security futures risk disclosure statement to reflect that Securities Investor Protection Corporation's protection for customer cash ...
By Cadwalader, Wickersham & Taft LLP
The Internal Revenue Service ("IRS") final regulations and removal of temporary regulations regarding the centralized partnership audit regime ...
By Cadwalader, Wickersham & Taft LLP
The SEC Office of Investor Education and Advocacy ("OIEA") warned investors of risks associated with "self-directed" individual retirement accounts ("SD-IRAs").
By Steven Lofchie
In a new report on interconnectedness and systemic risk, IOSCO, the Financial Stability Board, the Committee on Payments and Market Infrastructures ...
By Steven Lofchie
FINRA released its first annual "Industry Snapshot," a publication containing year over year data on trading activity and statistics on FINRA-registered firms and representatives.
By Cadwalader, Wickersham & Taft LLP
The Board of Governors of the Federal Reserve System ("FRB") proposed a revision to a report that must be completed in connection with capital assessments and stress testing requirements.
By Cadwalader, Wickersham & Taft LLP
New York Department of Financial Services ("DFS") Superintendent Maria Vullo reminded all DFS-regulated entities covered by DFS's cybersecurity regulation ("covered entities") ...
By Cadwalader, Wickersham & Taft LLP
In a Mergers and Acquisitions Update, Cadwalader attorneys analyzed two recent decisions by the Delaware Court of Chancery ...
By Cadwalader, Wickersham & Taft LLP
The SEC Office of Investor Education and Advocacy ("OIEA") provided investors with guidance on traditional and non-traditional index funds.
By Cadwalader, Wickersham & Taft LLP
SEC amendments to enhance the disclosure requirements for alternative trading systems ("ATSs") that trade National Market System ("NMS") ...
By Cadwalader, Wickersham & Taft LLP
The National Futures Association ("NFA") Business Conduct Committee brought a Complaint against a commodity pool operator ...
By Cadwalader, Wickersham & Taft LLP
A company that provided cloud communications products and services agreed to settle SEC charges of misleading investors with inaccurate revenue projections.
By Cadwalader, Wickersham & Taft LLP
The CFTC proposed amendments to codify policies and procedures for organizations located outside of the U.S. to obtain an exemption from registration as a derivatives clearing organization ("DCO").
By Lex Urban
The SEC charged the U.S. Representative for New York's 27th Congressional District, his son and a third individual with insider trading.
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