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Searching Content indexed under Securities by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
Pharmaceutical Company Settles SEC Charges For Selective Disclosure Of Nonpublic Information
A pharmaceutical company agreed to settle SEC charges of selectively disclosing material, nonpublic information to sell-side research analysts.
United States
23 Aug 2019
2
SIFMA Recommends Updates To MSRB Rules On Ethical Standards
In response to an MSRB retrospective rule review, SIFMA recommended clearing up ambiguities within existing regulations concerning ethical standards for financial advisors.
United States
23 Aug 2019
3
FINRA Recaps Monthly Disciplinary Actions - August 2019
In its August disciplinary report, FINRA recapped actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities
United States
23 Aug 2019
4
SEC Grants Exemptive Relief To ETF From Tender Offer Rules
The SEC Division of Corporation Finance Office of Mergers and Acquisitions granted no-action relief to an exchange-traded fund ("ETF") from requirements under SEA Rule 14e-5
United States
23 Aug 2019
5
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
6
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
7
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
8
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
9
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
10
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
11
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
12
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
13
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
14
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
15
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
16
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
17
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
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
SEC Grants India's Largest Commercial Ports Operator Partial Tender Offer Relief
The SEC granted an exemption from Exchange Act Rule 14e-1(a) ("Unlawful Tender Offer Practices")
United States
8 Aug 2019
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