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By Cadwalader, Wickersham & Taft LLP
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of January 15 to January 19, 2018.
By Cadwalader, Wickersham & Taft LLP
The MSRB filed with the SEC (i) a proposed new rule on advertising by municipal advisors and (ii) amendments to its rule on advertising by municipal securities dealers.
By Robert Zwirb
The CFTC filed two separate civil enforcement actions in the U.S. District Court for the Eastern District of New York charging entities with fraud in connection with cryptocurrency-related activities.
By Cadwalader, Wickersham & Taft LLP
The SEC Division of Investment Management (the "Division") advised funds that are investing significantly in cryptocurrency not to seek to register their securities or otherwise to sell securities in a public offering.
By Scott Cammarn
Board of Governors of the Federal Reserve System ("FRB") Vice Chair for Supervision Randal Quarles advocated for a more tailored approach to supervising banks.
By Cadwalader, Wickersham & Taft LLP
The Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, and the Federal Deposit Insurance Corporation (collectively, the "agencies") provided interagency guidance...
By Cadwalader, Wickersham & Taft LLP
IOSCO warned members about the risks associated with Initial Coin Offerings ("ICOs").
By Cadwalader, Wickersham & Taft LLP
FINRA published its operating budget and Financial Guiding Principles for 2018. Both documents were published for the first time in FINRA's history.
By Steven Lofchie
Acting Consumer Financial Protection Bureau ("CFPB") Director Mick Mulvaney did not request funding from the Board of Governors of the Federal Reserve System ("FRB") for the second quarter of 2018.
By Cadwalader, Wickersham & Taft LLP
CFTC Chair J. Christopher Giancarlo named Maggie Sklar as his Senior Counsel.
By Cadwalader, Wickersham & Taft LLP
While the Payday Rule became effective on January 16, 2018, compliance with most provisions of the rule is not required until August 19, 2019
By Christian Larson
In addition to imposing the fine, the Order requires the Bank's branches to submit periodic progress reports to their applicable Federal Reserve Banks detailing steps taken to comply with the conditions of the Order.
By Steven Lofchie
The Consumer Financial Protection Bureau will solicit public input on how best to fulfill its proper and appropriate functions in order to protect consumers.
By Cadwalader, Wickersham & Taft LLP
FINRA released a content outline for the new Securities Industry Essentials ("SIE") examination.
By Cadwalader, Wickersham & Taft LLP
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of January 8 to January 12, 2018.
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