Searching Content indexed under Arbitration & Dispute Resolution by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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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
SEC Approves Amendments Extending Response Times For Non-Parties In FINRA Arbitrations
The SEC approved amendments to FINRA's customer and industry arbitration rules to extend response times for non-parties to arbitration subpoenas, orders of appearance of witnesses and orders for the production of documents.
United States
14 Jun 2019
Cadwalader Adds Market-Leading Trial Group To Global Litigation Team
Sean O'Shea, Michael Petrella and Amanda Devereux joined Cadwalader's New York office as partners in the Global Litigation Group.
United States
12 Mar 2019
SEC Staff Allows Company To Exclude Shareholder Mandatory Arbitration Proposal From Proxy Materials
The staff of the SEC Division of Corporation Finance (the "Division") will not recommend enforcement action against a U.S. company for excluding a shareholder proposal from its proxy materials.
United States
19 Feb 2019
FINRA Proposes Extending Response Times For Non-Parties In Arbitrations
FINRA proposed increasing the amount of time for non-parties to respond to arbitrator subpoenas, orders of appearance of witnesses or orders for the production of documents.
United States
6 Feb 2019
FINRA Proposes To Extend Response Times In Arbitrations
The proposed rule change also makes corresponding changes intended to improve the discovery process.
United States
15 Jan 2019
Reg. Tracker: January 1 To January 15, 2019
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, effective dates, compliance dates and expiration dates. Click on the links below to view deadlines from January 1, 2019 to January 15, 2019.
United States
8 Jan 2019
Reg. Tracker: October 15 To October 31
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, effective dates and expiration dates. Click on the links below to view deadlines from October 15 to October 31.
United States
18 Oct 2018
SEC Approves Amendments To FINRA's Arbitration Procedures
The SEC approved amendments to FINRA's arbitration procedures. The amendments charge parties who request a cancellation within three business days ...
United States
7 Oct 2018
District Court Certifies Class In Best Execution Case
The U.S. District Court for the District of Nebraska (the "Court") granted a motion for the class certification of a claim against a broker-dealer for mishandling customer orders.
United States
6 Oct 2018
Federal Register: SEC Files Proposed Fees For Late Cancellation Of Prehearing Conferences
The SEC published for comment a proposed FINRA rule change that would implement fees for the late cancellation of a prehearing conference.
United States
24 May 2018
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
FINRA Proposes Rule To Eliminate A Fee In Arbitration Procedures
FINRA filed a proposed rule change with the SEC that would eliminate a $400 fee charged to the parties of a FINRA arbitration procedure for electing to have arbitrators provide an "explained decision" (i.e., a fact-based award outlining the reasons for the arbitrator's decision).
United States
28 Feb 2018
FINRA Calls Attention To Customer Recovery Issues
In a newly published paper, FINRA examined the issue of unpaid arbitration awards in the financial services industry and explored ways to improve outcomes for the FINRA arbitration forum.
United States
13 Feb 2018
FINRA Proposes Rule Changes To Incentivize Payment Of Arbitration Awards
FINRA proposed amendments to its Membership Application Program rules to incentivize the timely payment of arbitration awards.
United States
12 Feb 2018
FINRA Proposes New Intermediate Arbitration Hearing Option For Small Claims
The telephonic hearing would be limited to two sessions, and there would be time limits placed on the hearings.
United States
1 Feb 2018
President Trump Signs Legislative Resolution Nullifying CFPB Arbitration Rule
President Donald J. Trump officially nullified the Consumer Financial Protection Bureau's ("CFPB") arbitration rule by signing H.J. Res. 111.
United States
9 Nov 2017
FINRA Proposes Amendments To Arbitration Procedures Involving Inactive Members
In a Regulatory Notice, FINRA explained that the recovery of arbitration awards is often difficult if respondents to a claim are no longer in business.
United States
27 Oct 2017
FINRA Solicits Comments On Non-Attorney Representatives In Arbitration
FINRA requested comments on the efficacy of allowing compensated non-attorneys (non-attorney representatives, or "NARs") to represent parties in securities arbitration and mediation proceedings.
United States
27 Oct 2017
SEC Approves FINRA Amendments To Expand Non-Public Arbitrator Definition
The SEC approved FINRA amendments revising the definition of a non-public arbitrator.
United States
16 Oct 2017
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