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Searching Content by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
NFA Sets Effective Date For Certain Virtual Currency Disclosure Requirements
The National Futures Association ("NFA") set October 31, 2018 as the effective date for certain disclosure requirements related to virtual currency activities.
United States
17 Aug 2018
2
FINRA Proposes Changes To Security Futures Risk Disclosure Statement
FINRA proposed amending its security futures risk disclosure statement to reflect that Securities Investor Protection Corporation's protection for customer cash ...
United States
17 Aug 2018
3
Federal Register: IRS Issues Final Centralized Partnership Audit Regulations
The Internal Revenue Service ("IRS") final regulations and removal of temporary regulations regarding the centralized partnership audit regime ...
United States
17 Aug 2018
4
SEC Warns Investors of Risks In Self-Directed IRAs
The SEC Office of Investor Education and Advocacy ("OIEA") warned investors of risks associated with "self-directed" individual retirement accounts ("SD-IRAs").
United States
17 Aug 2018
5
International Regulatory Groups Analyze "Interconnectedness" Between CCPs And Clearing Members
In a new report on interconnectedness and systemic risk, IOSCO, the Financial Stability Board, the Committee on Payments and Market Infrastructures ...
United States
17 Aug 2018
6
FINRA Publishes Annual "Industry Snapshot"
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.
United States
17 Aug 2018
7
Federal Register: Federal Reserve Proposes Technical Revision To Capital Assessment And Stress Testing Report
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.
United States
17 Aug 2018
8
NY DFS Superintendent Reminds Firms Of Upcoming Compliance Dates For Cybersecurity Regulation
New York Department of Financial Services ("DFS") Superintendent Maria Vullo reminded all DFS-regulated entities covered by DFS's cybersecurity regulation ("covered entities") ...
United States
17 Aug 2018
9
Cadwalader Attorneys Analyze Recent Appraisal Jurisprudence
In a Mergers and Acquisitions Update, Cadwalader attorneys analyzed two recent decisions by the Delaware Court of Chancery ...
United States
16 Aug 2018
10
SEC Offers Guidance To Investors On Traditional And Non-Traditional Index Funds
The SEC Office of Investor Education and Advocacy ("OIEA") provided investors with guidance on traditional and non-traditional index funds.
United States
16 Aug 2018
11
Federal Register: SEC To Require Heightened Disclosures For Alternative Trading Systems
SEC amendments to enhance the disclosure requirements for alternative trading systems ("ATSs") that trade National Market System ("NMS") ...
United States
16 Aug 2018
12
NFA Files Complaint Against Company For Failure To Cooperate With A Firm Examination
The National Futures Association ("NFA") Business Conduct Committee brought a Complaint against a commodity pool operator ...
United States
16 Aug 2018
13
Communications Company Settles Charges Of Providing Misleading Revenue Estimates
A company that provided cloud communications products and services agreed to settle SEC charges of misleading investors with inaccurate revenue projections.
United States
16 Aug 2018
14
CFTC Proposes To Simplify Exemptive Process For Foreign Clearing Organizations
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").
United States
16 Aug 2018
15
New York Congressman Charged With Insider Trading
The SEC charged the U.S. Representative for New York's 27th Congressional District, his son and a third individual with insider trading.
United States
16 Aug 2018
16
FinCEN Extends Temporary Relief For Rollovers And Renewals
The Financial Crimes Enforcement Network ("FinCEN") extended previously granted relief that temporarily exempts certain products and services from the Beneficial Ownership Rule.
United States
16 Aug 2018
17
Global FX Committee Updates Standards For Forex Market Participants
The Global Foreign Exchange Committee ("GFXC") published an updated version of the FX Global Code (the "Code") and highlighted recent GFXC developments and near-term priorities.
United States
16 Aug 2018
18
Attorneys General Urge SEC To Strengthen Proposed Regulation Best Interest
A coalition of 17 Attorneys General ("AGs") urged the SEC to bolster the requirements set out in proposed Regulation Best Interest (the "Proposed Rule").
United States
16 Aug 2018
19
Federal Register: FRB Adopts Single-Counterparty Credit Limits
The FRB final rule implementing single-counterparty credit limits for certain U.S. bank holding companies and foreign banking organizations operating in the United States was published in the Federal Register.
United States
15 Aug 2018
20
SEC Provides Guidance On Online Delivery Of Investment Company Shareholder Reports
The SEC provided guidance on ICA Rule 30e-3 (the "Rule") to certain registered investment companies.
United States
15 Aug 2018
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