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Searching Content by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
SEC Issues Decision On Market Data Fees And Market Structure
The SEC issued an opinion and order regarding several administrative proceedings that at least temporarily rejected increases in market data fees.
United States
19 Oct 2018
2
Exchange Operators Call For Recusal Of SEC Director From Market Data Fee Lawsuit
In a motion filed with the SEC, NYSE and Nasdaq requested the recusal of SEC Division of Trading and Markets Director Brett Redfearn from the SEC's review of a dispute regarding market data fee increases.
United States
19 Oct 2018
3
Senate Banking Committee Considers State Of Cryptocurrency And Blockchain
The U.S. Senate Committee on Banking, Housing and Community Affairs held a hearing on the state of cryptocurrency and blockchain.
United States
19 Oct 2018
4
SEC Reopens Comment Period On Capital, Margin And Segregation Requirements For SBSDs
The SEC reopened the comment period, and requested additional comments, on proposed new rules and amendments to (i) establish capital, margin and segregation requirements for SBSDs and major security-based swap...
United States
19 Oct 2018
5
Cadwalader Analysis: SEC Returns To Security-Based Swap Dealer Regulation
Cadwalader attorneys reviewed the SEC's security-based swap rules under Dodd-Frank Title VII in light of the agency taking action to reopen the comment period on capital, margin and segregation requirements.
United States
19 Oct 2018
6
FINRA Recaps October Disciplinary Actions
FINRA summarized recent disciplinary actions against firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws and rules.
United States
19 Oct 2018
7
MSRB Proposes Amendments To Reporting Requirements For College Savings And ABLE Programs
The MSRB proposed to amend Form G-45 to clarify data elements and to require additional data from underwriters of college savings plans ...
United States
19 Oct 2018
8
NASAA Warns Investors About Marijuana-Related Investment Risks
The North American Securities Administrators Association ("NASAA") warned investors of scams and risks concerning marijuana-related investments.
United States
19 Oct 2018
9
FRB Governor Recommends Improvements To Community Reinvestment Act
Federal Reserve Board ("FRB") Governor Lael Brainard outlined a number of ways to improve the effectiveness of the Community Reinvestment Act ("CRA") ...
United States
19 Oct 2018
10
Banking Regulators Update FAQs On Real Estate Transactions
The Office of the Comptroller of the Currency, the Federal Reserve Board and the FDIC updated answers to FAQs ...
United States
19 Oct 2018
11
SEC Urges Public Companies To Develop Internal Controls Against Cyber-Related Fraud
The SEC urged public companies to implement internal accounting controls capable of preventing cyber-related fraud.
United States
19 Oct 2018
12
Reg. Tracker: October 15 To October 31
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, effective dates and expiration dates. Click on the links below to view deadlines from October 15 to October 31.
United States
18 Oct 2018
13
Federal Register: MSRB Proposes Additional Qualification Requirements For Municipal Advisor Principals
The MSRB proposal to amend Rule G-3 to establish additional qualification requirements for municipal advisor principals was published in the Federal Register.
United States
18 Oct 2018
14
Federal Register: Bank Regulators Allow QFC Amendments To Unmargined Legacy Swaps
The U.S. "prudential regulators" final rule on uncleared swap margin requirements was published in the Federal Register.
United States
17 Oct 2018
15
NASAA Summarizes Recent Enforcement Trends
The North American Securities Administrators Association ("NASAA") identified recent enforcement trends in an annual summary of enforcement actions.
United States
17 Oct 2018
16
FDIC Reminds Banks Of CFPB Rule Clarifying Exemptions From HMDA Requirements
The FDIC reminded FDIC-supervised institutions subject to the Home Mortgage Disclosure Act ("HMDA") of a recently Consumer Financial Protection Bureau ("CFPB") interpretive and procedural rule.
United States
17 Oct 2018
17
SEC Suspends Accountants For Predating Audit Documentation
According to the SEC Order, three accountants failed to accurately complete an audit of a company's 2013 Form 10-K.
United States
17 Oct 2018
18
NFA Charges Introducing Broker For Misusing Customer Information In Trading Scheme
Throughout this scheme, the principal allegedly failed to disclose to his customers that his personal company was the counterparty to their block trades.
United States
17 Oct 2018
19
SEC Office Of Municipal Securities Director Discusses Importance Of Investor Disclosures
SEC Office of Municipal Securities Director Rebecca Olsen discussed the importance of adequate disclosures in the municipal securities market for retail investors.
United States
17 Oct 2018
20
Former Traders Charged In Spoofing Conspiracy
The CFTC and DOJ entered charges against a group of former commodities traders in connection with an alleged $60 million spoofing conspiracy.
United States
17 Oct 2018
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