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Searching Content by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
Broker-Dealer Settles Charges For Failure To Supervise RMBS Traders And Salespersons
A broker-dealer agreed to pay approximately $15 million to settle SEC charges of failing to supervise residential mortgage-backed securities ("RMBS") traders and salespersons.
United States
14 Jun 2018
2
Banking Agencies Issue Statement On Enforcement Coordination
The Office of the Comptroller of the Currency, the FDIC and the Board of Governors of the Federal Reserve System ("Agencies") issued an updated policy statement on coordination...
United States
14 Jun 2018
3
FinCEN Calls Attention To Transactional Red Flags Associated With International Corruption
The U.S. Treasury Department Financial Crimes Enforcement Network ("FinCEN") issued an advisory describing how corrupt foreign "politically exposed persons" ("PEPs") access the U.S. financial system.
United States
14 Jun 2018
4
MSRB Proposes Amendments To Professional Qualification Requirements
The MSRB filed a proposed rule change to amend MSRB Rule G-3 regarding the professional qualification requirements for broker-dealers ...
United States
13 Jun 2018
5
Treasury Adds Russian Individuals And Entities To The Sanctions List
The U.S. Treasury Department ("Treasury") Office of Foreign Assets Control ("OFAC") designated several Russian individuals and entities for working at the direction...
United States
13 Jun 2018
6
SEC Commissioner Calls For Revision Of Stock Buyback Rules
SEC Commissioner Robert J. Jackson Jr. advocated for the review and revision of SEC rules to limit executives from using stock buybacks to cash out at the expense of investors.
United States
13 Jun 2018
7
Weekly Roundup Of Exchange Rules By Category - June 08, 2018
Click on the links to view SEC notices of exchange rule changes and proposals for the week of June 4 to June 8, 2018.
United States
12 Jun 2018
8
NFA Proposes Update To Security Futures Risk Disclosure Statement
The National Futures Association ("NFA") submitted a proposal to update the risk disclosure statement for security futures contracts that broker-dealers are required to provide to a customer prior to trading.
United States
12 Jun 2018
9
Yahoo Settlement Changes SEC Expectations On Cyber Disclosure
Public companies should not expect that the SEC will wait for a similarly egregious case to bring future cybersecurity disclosure enforcement actions, attorneys from Cadwalader, Wickersham & Taft LLP write.
United States
11 Jun 2018
10
SEC Grants No-Action Relief From Securities Act Registration Requirements
The SEC Division of Corporate Finance (the "Division") granted no-action relief allowing a company's common stock to be issued as part of a class action ...
United States
11 Jun 2018
11
Reg. Tracker: June 1 to June 15 – May 31, 2018
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, compliance dates and effective dates.
United States
11 Jun 2018
12
FINRA Proposes Update To Security Futures Risk Disclosure Statement
FINRA filed for immediate effectiveness a proposed rule change with the SEC to update the security futures risk disclosure statement.
United States
11 Jun 2018
13
SEC Chair Says Bitcoin Are Not Securities
SEC Chair Jay Clayton asserted that bitcoin and other cryptocurrencies that are replacements for U.S. dollars or other sovereign (fiat) currencies do not constitute securities under federal securities laws ...
United States
11 Jun 2018
14
FINRA Proposes New Reporting Obligations For Certain Alternative Trading Systems
FINRA filed a proposed amendment with the SEC that would impose additional Transaction Reporting and Compliance Engine ("TRACE") ...
United States
11 Jun 2018
15
SEC Names Senior Advisor For Digital Assets
The SEC named Valerie A. Szczepanik as Senior Advisor for Digital Assets, and Associate Director of the Division of Corporation Finance.
United States
8 Jun 2018
16
SEC Chief Accountant Details Recommendations For Improving Quality Of Financial Reporting
SEC Chief Accountant Wesley Bricker described his recommendations to improve and sustain the quality of financial reporting.
United States
8 Jun 2018
17
MSRB To Review Interpretive Notice On "Fair Dealing"
The MSRB will review its 2012 interpretive guidance on the fair-dealing obligation of underwriters ("2012 Guidance").
United States
8 Jun 2018
18
NFA To Implement Proficiency Testing For Swaps Traders
The National Futures Association ("NFA") will develop an online learning program and proficiency examination for individuals engaged in swaps activities.
United States
8 Jun 2018
19
Treasury Undersecretary Issues Warning Against Malign Activities Of Iranian Regime
U.S. Treasury Department ("Treasury") Undersecretary for Terrorism and Financial Intelligence Sigal P. Mandelker addressed Iran's alleged "malign" activities ...
United States
8 Jun 2018
20
SEC Chair Testifies On FY 2019 Budget Request
In testimony before the U.S. Senate Committee on Appropriations, Subcommittee on Financial Services and General Government ...
United States
8 Jun 2018
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