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Searching Content indexed under Arbitration & Dispute Resolution by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
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
2
The Same, Only Better: Eighth Circuit Affirms Peabody Chapter 11 Plan Backstopped Rights Offering Despite Alleged Disparate Creditor Treatment Under Peabody Plan
On August 9, 2019, in a unanimous decision (written by a former bankruptcy judge), the Eighth Circuit Court of Appeals affirmed the confirmation of the Peabody Energy Chapter 11 plan ("Plan")1
United States
12 Sep 2019
3
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
4
NASAA Recommends Legislative Agenda For 116th Congress
The North American Securities Administration ("NASAA") offered a legislative agenda for the 116th Congress.
United States
18 Mar 2019
5
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
6
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
7
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
8
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
9
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
10
SEC Officials Highlight Requests To Improve ESG Disclosures And Arbitration Process
SEC Chair Jay Clayton and SEC Commissioner Kara M. Stein highlighted (i) the increasing number of investor requests for improved environmental, social and governance ("ESG") disclosures,
United States
19 Dec 2018
11
Former Bank Director Settles CFTC Charges For "Mismarking" Swaps
A former managing director of a bank agreed to pay $350,000 to settle CFTC charges for illegally "mismarking" swap valuations in an effort to hide significant trading losses.
United States
14 Nov 2018
12
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
13
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
14
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
15
Supreme Court Refuses To Extend American Pipe Tolling To Successive Class Actions
On June 11, 2018, in China Agritech, Inc. v. Resh, the United States Supreme Court held that the American Pipe tolling doctrine, which suspends the running of the statute of limitations applicable...
United States
29 Jun 2018
16
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
17
Marketplace Lending Update #2: Another Rocky Mountain Remand
In our prior Clients & Friends Memo "Who's My Lender?" published on March 14, 2018, we analyzed two actions brought against marketplace lenders, one against Kabbage Inc...
United States
5 Apr 2018
18
Publicity: The US Perspective
The US Constitution guarantees defendants in criminal cases the right to a speedy and public trial. It also guarantees all Americans freedom of speech ...
United States
21 Mar 2018
19
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
20
Marketplace Lending Update: Who's My Lender?
Over the last several weeks, two notable cases in federal court challenging certain aspects of the business model of marketplace lending companies headed down separate paths.
United States
15 Mar 2018
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