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Searching Content by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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2
FINRA Elects Four New Governors
FINRA elected four new governors to the agency's Board of Governors. The new governors begin their three-year terms effective immediately.
United States
22 Aug 2019
3
CFPB Proposes Settlement In Connection With High-Interest Credit Offers
The CFPB and the State of Arkansas proposed a settlement in the United States District Court, Eastern District of Arkansas, against brokers for violations of the Consumer Financial
United States
22 Aug 2019
4
Broker-Dealers Settle Charges For Misuse Of Pre-Released ADRs
Two broker-dealers settled separate SEC charges (see here and here) for improperly obtaining the pre-release of American Depositary Receipts ("ADRs") that the firms should
United States
22 Aug 2019
5
Trade Credit Insurer Settles OFAC Charges For Violating Foreign Narcotics Kingpin Sanctions
According to OFAC, Atradius Trade Credit Insurance ("ATCI") dealt in property or interests of Grupo Wisa, S.A. ("Grupo Wisa"), a designated ("SDN") narcotics trafficker and former
United States
22 Aug 2019
6
NYDFS Grants Charter For Trust Company To Custody Bitcoin
The New York State Department of Financial Services ("NYDFS") approved the application of a trust company to act as a custodian for Bitcoin.
United States
22 Aug 2019
7
FINRA Reminds Firms Of Potential Municipal Advisor Registration Obligations
In newly issued guidance, FINRA reminded firms doing business with municipalities to implement appropriate supervisory procedures to avoid conducting unregistered municipal advisory activities.
United States
21 Aug 2019
8
Use Cabinet Alerts For Regulatory Change Management (Video)
Regulatory change increases overhead expense for financial institutions. The Cabinet "Alerts" tool allows firms and individuals to track regulatory
United States
20 Aug 2019
9
CME Group Issues Fines And Suspension For Trade Practice Violations
CME issued fines and suspensions against two brokers and a futures brokerage firm for separate trade practice violations.
United States
20 Aug 2019
10
SEC Advocate Describes Mission Of New Office For Small Business Capital Formation
She said the OASB is intended to facilitate greater access to capital markets for small business owners and their investors.
United States
20 Aug 2019
11
Reg. Tracker: August 16 To August 31 (2019)
The Cabinet Regulatory Tracker is a list of comment deadlines, compliance dates, effective dates and delayed actions.
United States
19 Aug 2019
12
Federal Register: SEC Codifies Exemption To Rating Agency Disclosure Obligations
Federal Register: SEC Codifies Exemption to Rating Agency Disclosure Obligations.
United States
19 Aug 2019
13
Broker-Dealer Settles SEC Charges For Publishing OTC Quotes Without Conducting Adequate Reviews
To settle the charges, Canaccord Genuity LLC agreed (i) to a censure and (ii) to pay a civil money penalty in the amount of $250,000.
United States
19 Aug 2019
14
SEC OIEA Warns Investors Of Risks Associated With Indexed Annuities
In an Investor Bulletin, the SEC Office of Investor Education and Advocacy ("OIEA") highlighted the risks associated with indexed annuities.
United States
19 Aug 2019
15
U.S. District Court Enjoins Company And CEO For "Do Not Call" Violations
The FTC obtained injunctions against a corporation and it's CEO for, among other things, telemarketing violations concerning the National Do Not Call Registry.
United States
19 Aug 2019
16
FINRA Fines Broker-Dealer For Failing To Qualify Traders
A broker-dealer settled FINRA charges for failing to ensure that certain equity traders had passed appropriate FINRA qualification examinations
United States
16 Aug 2019
17
FINRA Charges Former Registered Representatives With Failure To Report Outside Business Activities
In a FINRA disciplinary proceeding, the Department of Enforcement alleged that two former general securities representatives failed to report private securities transactions and outside business activities ("OBAs").
United States
16 Aug 2019
18
Cabinet Offers Topic Page On Cybersecurity And Data Protection Regulation (Video)
The Cybersecurity and Data Protection page helps financial institutions keep current on evolving legal and regulatory issues.
United States
16 Aug 2019
19
Individual Settles SEC Charges In Securities Manipulation Scheme
An individual from Virginia settled SEC charges for conspiring to manipulate the price of certain issuer securities through false regulatory filings.
United States
15 Aug 2019
20
Trade Associations Comment On CCP Default Management Auctions
Several trade associations provided feedback on key areas of central counterparty ("CCP") default management auctions.
United States
15 Aug 2019
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