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Searching Content indexed under Corporate/Commercial Law by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
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
2
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
3
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
4
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
5
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
6
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
7
Company Settles Potential Civil Liability For Violations Of Cuban Assets Control Regulations
A Boston-based company (the "Company") settled potential civil liability on behalf of three of its current and former subsidiaries for alleged violations...
United States
16 Oct 2019
8
Federal Register: SEC Proposes To Update Bank Holding Company Statistical Disclosure Requirements
The SEC proposal to (i) update the statistical disclosures for bank and savings and loan registrants and (ii) eliminate redundant disclosures was published in the Federal Register.
United States
14 Oct 2019
9
Broker-Dealer Settles FINRA Charges For Short Positions In Municipal Securities Failures
A broker-dealer settled FINRA charges for failing to implement an adequate supervisory system to address short positions in tax-exempt municipal bonds.
United States
14 Oct 2019
10
FINRA Amends Investment Fund Research Rules To Conform To FAIR Act
FINRA adopted rule amendments that eliminate certain requirements applicable to research reports on "covered investment funds," in accordance with the Fair Access to Investment Research Act of 2017 ("FAIR Act").
United States
10 Oct 2019
11
SEC Adopts Revisions To EDGAR Filer Manual
The SEC adopted revisions to the Electronic Data Gathering, Analysis and Retrieval System ("EDGAR")
United States
9 Oct 2019
12
Federal Register: MSRB Raises Professional Fee for Municipal Advisors
An MSRB-proposed rule change to increase the professional fee for municipal advisors was published in the Federal Register.
United States
9 Oct 2019
13
SEC Adopts Final Rule Updating ETF Approval Process
The SEC adopted a new rule and form amendments designed to modernize the regulation of exchange-traded funds ("ETFs")
United States
7 Oct 2019
14
Data Services Company Settles SEC Charges For Accounting And Disclosure Violations
Publicly traded data services company Comscore, Inc. and its former CEO settled SEC charges for financial accounting and fraud.
United States
7 Oct 2019
15
Broker-Dealer Settles SEC Charges For Failure To Protect Subscribers' Confidential Information
A broker-dealer that operates an alternative trading system ("ATS") for trading fixed income securities settled
United States
4 Oct 2019
16
ICI And MFA Respond To SEC Concept Release On Securities Act Registration Exemptions
The Investment Company Institute ("ICI") and the Managed Funds Association ("MFA") responded to an SEC concept release on Securities Act registration exemptions that facilitate capital raising.
United States
4 Oct 2019
17
FINRA Recaps Monthly Disciplinary Actions - September 25, 2019
In its September disciplinary report, FINRA recapped actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws and rules.
United States
4 Oct 2019
18
FINRA Provides Q&As On Amended TRACE Reporting Requirements For Certain Treasury Securities
FINRA provided Q&A guidance on amendments to TRACE reporting rules for certain transactions in U.S. Treasury securities.
United States
2 Oct 2019
19
SEC Provides Testimony On FY 2019 Developments
At a House Financial Services Committee hearing, the SEC provided testimony on initiatives undertaken during the fiscal year.
United States
2 Oct 2019
20
MSRB Publishes Fiscal Year 2020 Budget
As the Municipal Securities Rulemaking Board begins a new fiscal year on October 1, 2019, we are outlining our priorities and finances for the year ahead
United States
30 Sep 2019
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