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Searching Content indexed under Consumer Trading & Unfair Trading by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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CFPB Evaluates Remittance Rule
In a report to Congress, the CFPB evaluated a 2013 rule requiring remittance transfer providers to make certain disclosures to consumers regarding costs, fees and other information prior to purchase.
United States
2 Nov 2018
2
Broker-Dealer Penalized In Connection With Mutual Fund Sales Practice
A broker-dealer agreed to provide remediation to impacted customers to settle FINRA charges of failing to establish and maintain a supervisory system and written supervisory procedures.
United States
13 Sep 2018
3
President Trump Nominates CFPB Director
President Donald J. Trump nominated Kathleen Laura Kraninger to serve as Director of the Bureau of Consumer Financial Protection.
United States
22 Jun 2018
4
Proprietary Trading Firm Accuses Unknown Traders Of Manipulating CBOE Volatility Index
A proprietary trading firm filed a complaint accusing unknown traders of manipulating the Chicago Board Options Exchange Volatility Index ("VIX index").
United States
16 Mar 2018
5
Weekly Roundup Of Exchange Rules By Category - November 04, 2016
New SRO rules, rule proposals and NMS plans were announced by the SEC. Click on the links below to view SEC Notices of exchange rule changes and proposals for the week of November 1 – November 4.
United States
14 Nov 2016
6
CFTC To Examine New Proposal On Access To High Frequency Trading Computer Code
The CFTC will examine a supplemental proposal to Regulation Automated Trading at an open meeting on Friday, November 4, at 10:00 a.m.
United States
10 Nov 2016
7
Risk Desk Editor Examines "Strict Liability" Rules Of The CME
In the latest installment of "Drums along the Potomac," Risk Desk editor John Sodergreen examined the requirements for "strict liability" under Chicago Mercantile Exchange Rule 433.
United States
8 Nov 2016
8
FINRA Proposes Amendment To Protect Seniors From Financial Exploitation
FINRA proposed amending its rules to increase the ability of broker-dealers to prevent the financial exploitation of senior citizens and other vulnerable adults.
United States
2 Nov 2016
9
SEC Settles Charges Against Bank For Misleading Statements About Foreign Currency Exchange Trade Prices
The SEC settled charges against a bank for misleading mutual fund companies and other custody clients by applying hidden markups to foreign currency exchange trades.
United States
2 Aug 2016
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