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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
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
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
6
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
7
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
8
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
9
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
10
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
11
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
12
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
13
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
14
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
15
President Trump Imposes Sanctions Against Iran
The Trump administration issued a new Executive Order (the "New Iran E.O.") reimposing certain U.S. sanctions against Iran, effective August 7, 2018.
United States
15 Aug 2018
16
International Regulators Launch "Global Financial Innovation Network"
Several international regulatory agencies have created the "Global Financial Innovation Network" ("GFIN")
United States
15 Aug 2018
17
Cadwalader Attorneys Review Final Draft Of New European Risk Retention Requirements
The European Banking Authority ("EBA") published final draft regulatory technical standards on risk retention ("Draft Risk Retention RTS").
European Union
13 Aug 2018
18
Delaware Court Of Chancery Considers Shareholder Challenge To Voting Proxy Agreement
The Delaware Court of Chancery denied in part a motion to dismiss a lawsuit brought by a Charter stockholder who challenged a voting proxy agreement between Liberty Broadband Corporation...
United States
13 Aug 2018
19
CFTC Issues $45 Million In Whistleblower Awards
The CFTC granted multiple whistleblower awards totaling over $45 million.
United States
13 Aug 2018
20
MSRB Adds Five New Board Members For FY 2019
Five new members were elected to serve on the MSRB's governing board for FY 2019.
United States
13 Aug 2018
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