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Searching Content by Cadwalader, Wickersham & Taft LLP from Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
Comptroller Of The Currency Outlines Priorities
In testimony before the House Financial Services Committee, Comptroller of the Currency Joseph Otting detailed key credit, interest rate, operational and compliance risks faced ...
United States
19 Jun 2018
2
Federal Judge Denies Motion To Dismiss SEC Accounting Fraud Lawsuit
On June 11, 2018, the U.S. District Court for the Southern District of New York ("S.D.N.Y.") denied a Motion to Dismiss securities fraud claims ...
United States
18 Jun 2018
3
NFA Files Complaint Against Introducing Broker For AML Program Deficiencies
The National Futures Association ("NFA") charged an introducing broker with failing to fully implement its anti-money laundering ("AML") program.
United States
18 Jun 2018
4
FINRA Extends CDS Margin Pilot Program
FINRA proposed a rule change to extend the credit default swap ("CDS") margin pilot program in FINRA Rule 4240 to July 18, 2019.
United States
18 Jun 2018
5
Federal Register: CFTC Proposes Swap Dealer De Minimis Amendments
The CFTC requested public comment on a proposal to amend the swap dealer de minimis exception. Comments must be submitted by August 13, 2018.
United States
18 Jun 2018
6
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
7
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
8
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
9
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
10
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
11
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
12
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
13
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
14
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
15
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
16
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
17
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
18
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
19
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
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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