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Searching Content by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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Title
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Date
1
SEC Forms Asset Management Advisory Committee
The SEC formed an Asset Management Advisory Committee with an initial two-year term beginning on November 1, 2019.
United States
22 Oct 2019
2
NFA Reminds Members Of Branch Office Supervision Obligations
NFA reminded members to implement no less than the minimum requirements outlined in the recently updated NFA Interpretive Notice Compliance Rule 2-9
United States
22 Oct 2019
3
SEC And DOJ Charge Individuals In Bribery Scheme
The SEC charged the former CEO and president of a Nasdaq-traded security technology company and charged three other individuals in a fraudulent broker bribery scheme.
United States
22 Oct 2019
4
MSRB Amends Proposed Changes To Guidance On Certain Municipal Securities And Advisory Activities
The MSRB amended proposed changes to its 2012 interpretive notice concerning the conduct of municipal securities underwriting and municipal advisory activities
United States
22 Oct 2019
5
FDIC Supplements Proposed Revisions To Certain Interest Rate Restrictions
The FDIC supplemented proposed rule revisions on interest rate restrictions for certain insured depository institutions
United States
22 Oct 2019
6
Federal Register: FINRA Changes Method For Calculating Trade Reporting Fees
The FINRA proposal updating the method for calculating trade reporting fees under FINRA Rule 7620B for broker-dealers using the FINRA/NYSE Trade Reporting Facility (the "FINRA/NYSE TRF")
United States
22 Oct 2019
7
Federal Register: IRS Proposes LIBOR Transition Rules
The IRS proposal amending certain regulations to address the transition from interbank offered rates ("IBORs")
United States
22 Oct 2019
8
Federal Register: Agencies Raise Asset Thresholds For Management Interlock Rules
The Office of the Comptroller of the Currency, Federal Reserve Board and FDIC (collectively, the "agencies") final rule increasing the major asset prohibition thresholds for management
United States
22 Oct 2019
9
FINRA Offers New Resources For Reg. BI And Form CRS Implementation
FINRA offered new resources to member firms in preparation for compliance with Regulation Best Interest ("Reg. BI") and Form CRS (see previous coverage) by the deadline of June 30, 2020.
United States
22 Oct 2019
10
DOJ Issues Guidance On "Inability-To-Pay" Claims
DOJ provided guidance for prosecutors evaluating claims from a business organization that it is unable to pay a proposed fine or penalty,
United States
22 Oct 2019
11
SEC, CFTC And Federal Reserve Approve Volcker Amendments
The SEC, CFTC and Federal Reserve each adopted amendments to the regulations implementing the Volcker Rule
United States
22 Oct 2019
12
Reg. Tracker: October 1 To October 15, 2019
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines and effective dates. Click on the links below to view deadlines from October 1, 2019 to October 15, 2019.
United States
18 Oct 2019
13
CFTC DSIO Director Reviews Compliance And Supervisory Issues For 2020
CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") Director Joshua B. Sterling reviewed "key supervisory considerations" that will be addressed in the upcoming year.
United States
18 Oct 2019
14
NASAA Warns Millennials On Investment Scams
The North American Securities Administrators Association ("NASAA") provided informational resources to millennials on investing and avoiding scams
United States
17 Oct 2019
15
Federal Register: SEC Extends "Test-The-Waters" Accommodations To All Issuers
The SEC final rule allowing all issuers to engage in certain communications in a contemplated initial public offering was published in the Federal Register
United States
17 Oct 2019
16
FINRA Changes Method For Calculating Trade Reporting Fees
FINRA proposed updating the method for calculating trade reporting fees under FINRA Rule 7620B for broker-dealers using the FINRA/NYSE Trade Reporting Facility (the "FINRA/NYSE TRF").
United States
17 Oct 2019
17
FINRA Cautions Investors Of Risks In Trading Binary Options
FINRA cautioned investors on the risks associated with binary options and offered guidance on how to avoid certain frauds.
United States
17 Oct 2019
18
ISDA CEO Warns Of Potential Risks Relating To DTOs Post-Brexit
ISDA CEO Scott O'Malia highlighted potential issues affecting derivatives trading obligations following Brexit.
United States
17 Oct 2019
19
FDIC Chair Jelena McWilliams Appeals For FinTech Help
FDIC Chair Jelena McWilliams asked technology experts to join the agency and "reshape our supervisory approach in a rapidly evolving digital world."
United States
17 Oct 2019
20
FINRA To Issue Six New Rulemaking Proposals
Amendments to permit FINRA to publish aggregated TRACE volume data on transactions in U.S. Treasury Securities.
United States
17 Oct 2019
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