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Searching Content by Steven Lofchie from Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
Broker-Dealer Settles FINRA Charges For Failing To Prevent Non-Bona Fide Transactions
A broker-dealer agreed to a censure and a $20,000 fine to settle FINRA charges for failing to have an adequate supervisory system as well as written supervisory procedures ("WSPs") ...
United States
20 Sep 2018
2
NY DFS Takes OCC To Court Over FinTech Charter
The New York State Department of Financial Services filed a Complaint to stop the Office of the Comptroller of the Currency from accepting special purpose national bank charter applications from FinTech companies.
United States
20 Sep 2018
3
FINRA Cautions Firms On Reporting Of Net Basis Trades
FINRA reminded firms of trade reporting requirements when effecting OTC trades in equity securities on a "net basis."
United States
18 Sep 2018
4
SEC Chair Affirms That Staff Statements Are Non-Binding
SEC Chair Jay Clayton confirmed the SEC's "longstanding position" that staff statements to SEC-regulated institutions or stakeholders regarding rules or regulations are non-binding.
United States
18 Sep 2018
5
Democratic Lawmakers Urge SEC To Toughen Proposed Regulation Best Interest
Several Democratic members of Congress called upon SEC Chair Jay Clayton to amend proposed Regulation Best Interest to require a uniform fiduciary standard for all broker-dealers and investment advisers.
United States
17 Sep 2018
6
CFTC Chair Touts Cross-Border Regulatory Deference As Best Alternative
CFTC Chair J. Christopher Giancarlo called on European Union ("EU") regulators to "commit to an equivalence determination process that focuses on achieving comparable regulatory outcomes and not rule-by-rule exactitude."
United States
14 Sep 2018
7
SEC Settles Actions Involving Digital Securities
A privately owned company and two individuals settled SEC charges of conducting unregistered securities transactions and acting as unregistered broker-dealers in digital securities.
United States
14 Sep 2018
8
GAO Finds Limited Effects Of Regulation On Lending By Small Banks
The Government Accountability Office ("GAO") conducted a study of the effects of changes in regulation on community banks and credit unions and their ability to serve small businesses.
United States
12 Sep 2018
9
Senate Confirms New SEC Commissioner
The U.S. Senate confirmed the nomination of Elad L. Roisman to be a Commissioner of the SEC. Mr. Roisman, who was nominated by President Donald J. Trump, serves as Chief Counsel to the Senate Banking Committee.
United States
12 Sep 2018
10
MSRB Requests Comment On Agency Execution Procedures
The draft interpretive guidance would seek to clarify that a dealer does not need to post bids on multiple venues in order to satisfy its best execution obligations under MSRB Rule G-18.
United States
12 Sep 2018
11
Four Investment Advisers Settle SEC Charges Regarding Faulty Quantitative Investment Models
Four investment advisers and several related individuals settled SEC charges for allegedly advertising the use of quantitative investment models while failing to notify their Boards of Trustees and investors that certain models were inoperable and/or not in use.
United States
9 Sep 2018
12
SEC Chair Reflects On Investor Comments Regarding Proposed Standards Of Conduct
The key question is as to bullet point 2: customers' ability to select either a brokerage account or an advisory account.
United States
31 Aug 2018
13
Senator Warren Introduces Bill To Require That Large Companies Create A General Public Benefit
Senator Elizabeth E. Warren (D-MA) introduced a bill intended to get rid of "skewed market incentives" and force corporations to be more accountable to employees and other stakeholders.
United States
30 Aug 2018
14
Senator Warren Introduces Anti-Corruption Legislation
Senator Elizabeth A. Warren unveiled a wide-ranging bill that seeks to "eliminate the influence of money in our federal government."
United States
29 Aug 2018
15
MFA And Council Of Institutional Investors Call For Reforms To HSR Investment-Only Exemption
The HSR Act exempts parties from notification and waiting period requirements when acquiring voting shares totaling 10% or less of outstanding voting shares.
United States
23 Aug 2018
16
FinCEN Director Examines Virtual Currency Regulatory Obligations
Financial Crimes Enforcement Network ("FinCEN") Director Kenneth A. Blanco outlined agency efforts to protect financial institutions from fraud relating to new uses of financial technology ...
United States
20 Aug 2018
17
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
18
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
19
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
20
IOSCO Re-Analyzes Incentives To Centrally Clear Swaps
The Financial Stability Board, the Basel Committee on Banking Supervision, the Committee on Payments and Market Infrastructures and IOSCO
United States
15 Aug 2018
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