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Searching Content by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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Title
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Author
Date
1
FINRA CEO Robert Cook Pushes For Organizational Change
FINRA President and CEO Robert Cook emphasized the need for FINRA to adapt and make progressive changes in response to an evolving financial industry.
United States
26 May 2017
2
Hedge Fund Settles Insider Trading Charges
Hedge fund Omega Advisors ("Omega") and firm manager Leon G. Cooperman agreed to settle insider trading charges and beneficial ownership reporting violations.
United States
26 May 2017
3
MFA Outlines Regulatory Priorities
The Managed Funds Association ("MFA") summarized its regulatory priorities and advocated an approach that "protects investors, enhances regulatory coordination, promotes market transparency and increases market fairness and efficiency."
United States
26 May 2017
4
FINRA Updates Crowdfunding Bulletin
FINRA issued an updated Investor Alert on crowdfunding rules and processes (see previous coverage).
United States
25 May 2017
5
FINRA Proposes Offering "End-Of-Day TRACE" Report
FINRA proposed amending FINRA Rule 7730 ("Trade Reporting and Compliance Engine") ("TRACE") to begin offering an "End-of-Day TRACE Transaction File," which would allow market participants...
United States
25 May 2017
6
SEC to Reconsider Decision Approving Quadruple-Leveraged ETFs
According to a Wall Street Journal report, the SEC may reevaluate a decision by the Division of Markets and Trading to approve a proposed rule change that permits the listing and trading of...
United States
25 May 2017
7
MSRB To Institute Continuing Education Requirements
The MSRB will institute continuing education ("CE") requirements (see previous coverage) that obligate municipal advisors to "remain current in their industry knowledge."
United States
24 May 2017
8
CFTC Chief Of Staff Describes Approach To Leading The KISS Initiative
CFTC Chief of Staff Mike Gill discussed CFTC Acting Chair J. Christopher Giancarlo's commitment to reviewing rules that might hinder market growth and liquidity, and to do away with those that are...
United States
24 May 2017
9
CFTC Launches FinTech Innovation Initiative
The CFTC launched "LabCFTC," an initiative designed to "promot[e] responsible FinTech innovation to improve the quality, resiliency, and competitiveness of the markets the CFTC oversees."
United States
24 May 2017
10
Massive Ransomware Attack Necessitates Examination Of Cybersecurity Measures
Beginning on May 12, 2017, unidentified hackers launched a massive cyberattack using ransomware known as "WannaCry" that compromised over 200,000 computers across the world.
United States
24 May 2017
11
SEC Publishes Investor Bulletin On Crowdfunding
The SEC Office of Investor Education and Advocacy ("OIEA") issued an Investor Bulletin to "educate investors about a new investing opportunity in the form of securities-based crowdfunding."
United States
24 May 2017
12
FINRA Requests Extension For Tier Size Pilot Program
FINRA proposed a change to FINRA Rule 6433 ("Minimum Quotation Size Requirements for OTC Equity Securities") that would extend the Tier Size Pilot Program for OTC equity securities...
United States
24 May 2017
13
Wannacry Ransomware Attacks Should Be A Wake-Up Call For Cybersecurity Diligence
Last week's massive ransomware attack should serve as a wake-up call that companies across all industries and regions must take the threat of global cyber attacks seriously.
United States
23 May 2017
14
CFTC Extends Registration Relief To Chinese Derivatives Clearing Organization
The CFTC Division of Clearing and Risk granted an extension of no-action relief to the Shanghai Clearing House ("SHCH") (see previous coverage of the original relief) from registration...
United States
23 May 2017
15
SEC Grants No-Action Relief From Certain Tender Offer Requirements
The SEC Division of Corporate Finance granted no-action relief to technology company Yahoo! Inc. ("Yahoo") from tender offer requirements under Exchange Act Rules 13e-4(d)(1), 13e-4(e)(3)...
United States
23 May 2017
16
FINRA Proposes To Phase Out OATS As CAT Comes On Line
FINRA filed a proposed rule change with the SEC that would remove Order Audit Trail System ("OATS") rules from the FINRA Rule 7400 Series, and amend FINRA electronic blue sheet Rules 8211 and 8213...
United States
23 May 2017
17
SEC Names General Counsel, Chief Counsel And Deputy Chief Of Staff
The SEC named Robert Stebbins as General Counsel. Previously, Mr. Stebbins was a partner at Willkie Farr & Gallagher.
United States
22 May 2017
18
SEC Charges Former Traders With Fraudulent Trading In CMBS
The SEC charged two former traders for Nomura Securities International Inc. ("Nomura") with securities fraud.
United States
22 May 2017
19
FINRA Requests Comments On Rules Relating To Member Firm Employees' Outside Activities
As a part of its retrospective review process, FINRA requested comments on Rules 3270 ("Outside Business Activities of Registered Persons") and 3280 ("Private Securities Transactions...
United States
22 May 2017
20
NFA Willing To Review Internal Risk Models Under CFTC Swap Dealer Proposal
The National Futures Association ("NFA") expressed its willingness to review and approve swap dealers' ("SDs") internal models for calculating market and credit risk exposures in order to determine...
United States
22 May 2017
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