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Searching Content indexed under Corporate/Commercial Law by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
Regulators Emphasize Importance Of Capital Investment
In a separate address at the Forum, Ms. Miller stressed the importance to the economy of capital formation and investment in new companies.
United States
22 Aug 2019
2
FINRA Reminds Firms Of Potential Municipal Advisor Registration Obligations
In newly issued guidance, FINRA reminded firms doing business with municipalities to implement appropriate supervisory procedures to avoid conducting unregistered municipal advisory activities.
United States
21 Aug 2019
3
SEC Advocate Describes Mission Of New Office For Small Business Capital Formation
She said the OASB is intended to facilitate greater access to capital markets for small business owners and their investors.
United States
20 Aug 2019
4
Reg. Tracker: August 16 To August 31 (2019)
The Cabinet Regulatory Tracker is a list of comment deadlines, compliance dates, effective dates and delayed actions.
United States
19 Aug 2019
5
Federal Register: SEC Codifies Exemption To Rating Agency Disclosure Obligations
Federal Register: SEC Codifies Exemption to Rating Agency Disclosure Obligations.
United States
19 Aug 2019
6
Broker-Dealer Settles SEC Charges For Publishing OTC Quotes Without Conducting Adequate Reviews
To settle the charges, Canaccord Genuity LLC agreed (i) to a censure and (ii) to pay a civil money penalty in the amount of $250,000.
United States
19 Aug 2019
7
SEC OIEA Warns Investors Of Risks Associated With Indexed Annuities
In an Investor Bulletin, the SEC Office of Investor Education and Advocacy ("OIEA") highlighted the risks associated with indexed annuities.
United States
19 Aug 2019
8
FINRA Fines Broker-Dealer For Failing To Qualify Traders
A broker-dealer settled FINRA charges for failing to ensure that certain equity traders had passed appropriate FINRA qualification examinations
United States
16 Aug 2019
9
FINRA Charges Former Registered Representatives With Failure To Report Outside Business Activities
In a FINRA disciplinary proceeding, the Department of Enforcement alleged that two former general securities representatives failed to report private securities transactions and outside business activities ("OBAs").
United States
16 Aug 2019
10
SEC Charges "Financial Guru" In ICO Fraud Scheme
The U.S. District Court for the Eastern District of New York froze the assets of a "self-described financial guru" charged with defrauding
United States
16 Aug 2019
11
Individual Settles SEC Charges In Securities Manipulation Scheme
An individual from Virginia settled SEC charges for conspiring to manipulate the price of certain issuer securities through false regulatory filings.
United States
15 Aug 2019
12
SEC Grants Exemptive Relief To Spanish Bank From Certain Tender Offer Requirements
The SEC Division of Corporate Finance granted a Spanish bank exemptive relief from certain requirements under SEA Rule 14e-1 ("Unlawful
United States
15 Aug 2019
13
Federal Register: MSRB Proposes Amendments To Interpretive Guidance On Dealer Disclosure Requirements
An MSRB proposal amending interpretive guidance on certain disclosure obligations for municipal securities and municipal advisory activities was published in the Federal Register
United States
14 Aug 2019
14
FINRA Provides Resources For Reg. BI Implementation
FINRA urged broker-dealers to prepare for the implementation of SEC Regulation Best Interest ("Reg. BI").
United States
13 Aug 2019
15
Options Clearing Corporation Proposes Rule Change To Enhance "Vanilla Option Model" And "Smoothing Algorithm"
The Options Clearing Corporation ("OCC") proposed a rule change to enhance the "Vanilla Option Model" and "Smoothing Algorithm."
United States
13 Aug 2019
16
SEC Proposes Amendments To Public Company Reporting Requirements
Comments must be submitted within 60 days of publication of the proposal in the Federal Register.
United States
13 Aug 2019
17
SEC Commissioner Hester Peirce Champions "Marie Kondo" Approach to Regulation
SEC Commissioner Hester M. Peirce expressed support for SEC Chair Jay Clayton's initiative to review outdated regulations.
United States
13 Aug 2019
18
Reg. Tracker: August 1 To August 15 (2019)
The Cabinet Regulatory Tracker is a list of comment deadlines and effective dates.
United States
9 Aug 2019
19
SEC Codifies Exemption To Rating Agency Disclosure Obligations
The final rule will become effective 30 days after publication in the Federal Register.
United States
9 Aug 2019
20
What Companies Should Know About Whistleblowers
Cadwalader attorneys described five compliance measures to minimize risk when responding to whistleblowers.
United States
9 Aug 2019
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