Search
Searching Content by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
Links to Result pages
 
1 2 3 4 5 6 7 8 9 10 11 . . .  
>>Next
 
Title
Country
Organisation
Author
Date
1
IOSCO And CPMI Update PFMI Implementation Report
IOSCO and the Committee on Payments and Market Infrastructures ("CPMI") published a fourth update to the Level 1 assessments of implementation monitoring of the "PFMI" (international standards for payment...
United States
26 Jul 2017
2
Weekly Roundup Of Exchange Rules By Category - July 14, 2017
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of July 10 to July 14, 2017.
United States
26 Jul 2017
3
Appeals Court Dismisses Petition To Review MSRB "Pay To Play" Rule
The United States Court of Appeals for the Sixth Circuit dismissed a challenge (see previous coverage) to the MSRB's "pay-to-play" rule.
United States
26 Jul 2017
4
Financial Industry Professionals Testify On Repeal Of DOL Fiduciary Rule
At a hearing before the House Financial Services Subcommittee on Capital Markets, Securities, and Investment, several financial industry professionals (the "panelists") discussed potential negative effects...
United States
26 Jul 2017
5
MSRB Provides Guidance On Conduit Financing
The MSRB issued guidance on the application of MSRB Rule G-42 to non-solicitor municipal advisors with regards to conduit financing.
United States
26 Jul 2017
6
NY Fed Executive Urges Universal Adoption Of FX Global Code
Federal Reserve Bank of New York ("NY Fed") Executive Vice President Simon Potter urged all foreign exchange market participants to adopt the FX Global Code (the "Code")...
United States
26 Jul 2017
7
FINRA Proposes Amendments To Expand Eligibility To Serve As Non-Public Arbitrators
FINRA proposed amendments to the Arbitration Rules (FINRA Rules 12100 and 13100) to expand the scope of individuals eligible to serve as non-public arbitrators.
United States
25 Jul 2017
8
FDIC Reminds Banks To Complete Q2 Call Reports
The FDIC reminded banks to submit their Consolidated Reports of Condition and Income ("Call Reports") for the second quarter of 2017.
United States
25 Jul 2017
9
SEC Educates Investors On "Stop," "Stop-Limit" And "Trailing Stop" Orders
The SEC Office of Investor Education and Advocacy ("OIEA") described the differences between "stop," "stop-limit" and "trailing stop" orders.
United States
25 Jul 2017
10
SEC Commissioner Kara Stein Addresses Capital Markets Issues
SEC Commissioner Kara Stein shared her views on the current state of U.S. capital markets and addressed several key issues.
United States
25 Jul 2017
11
FINRA And MSRB Issue Guidance On New Trade Confirmation Requirements
FINRA and the MSRB issued guidance, in the form of Frequently Asked Questions, on new confirmation disclosure requirements that apply to transactions with retail customers in corporate debt...
United States
25 Jul 2017
12
FINRA Adds Certain Secondary Market Transactions To TRACE
Expanded reporting of U.S. Treasury security transactions to the FINRA Trade Reporting and Compliance Engine ("TRACE") commenced on July 10, 2017.
United States
24 Jul 2017
13
SEC Charges Research Scientist With Insider Trading
The SEC charged a research scientist with insider trading in relation to allegations that he traded on confidential information obtained from his wife.
United States
24 Jul 2017
14
Senate Finance Committee To Discuss Tax Reform
The United States Senate Committee on Finance (the "Committee") will hold hearings on July 18, 2017 to discuss options for overhauling the tax code and to consider the nomination of...
United States
24 Jul 2017
15
SEC Chair Jay Clayton Lays Out Regulatory Agenda
At the nonpartisan Economic Club of New York, SEC Chair Jay Clayton highlighted the guiding principles behind his regulatory agenda.
United States
24 Jul 2017
16
FINRA Releases June 2017 Monthly Podcast
FINRA released a podcast summary of FINRA news, notices and resources from June 2017.
United States
21 Jul 2017
17
Preliminary Approval Granted To Settlement Of Class-Action Suit For Opening Unauthorized Accounts
A judge in the U.S. District Court for the Northern District of California granted preliminary approval to an agreement that would allow Wells Fargo to settle a class-action lawsuit filed...
United States
21 Jul 2017
18
FINRA Highlights Change To Delay Periods For Historic TRACE Data Sets
Effective October 2, 2017, the delay period applicable to Historic Trade Reporting and Compliance Engine ("TRACE") Data for corporate bonds and agency debt will be reduced from 18 months to six months.
United States
21 Jul 2017
19
CFTC Brings Two Commodity Pool Fraud Cases
The CFTC charged a New York resident and his company with commodity pool fraud, off-exchange foreign currency derivatives fraud, and failure to register with the CFTC.
United States
21 Jul 2017
20
House Small Business Committee Requests Briefing From CFPB On Rulemaking Activity
The United States House Committee on Small Business ("Committee") requested a briefing by the Consumer Financial Protection Bureau ("CFPB") regarding the agency's business lending data collection rulemaking.
United States
21 Jul 2017
Links to Result pages
 
1 2 3 4 5 6 7 8 9 10 11 . . .  
>>Next