Searching Content indexed under Directors and Officers by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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FRB Highlights Risks In Certain Insurance Policy Indemnifications For D&Os
The Federal Reserve Board ("FRB") highlighted risks related to certain insurance policy indemnifications for the directors and officers ("D&Os")
United States
31 Jul 2019
FTC Reminds Market Participants Of Interlocking Prohibitions During Restructurings Or Acquisitions
The FTC reminded market participants to ensure that persons do not serve as officers or directors of competing companies during restructurings or acquisitions.
United States
11 Jul 2019
President Trump To Designate Joseph Otting As Acting Director Of FHFA
Mr. Otting will be Acting Director upon Mr. Watt's departure until a permanent Director is confirmed.
United States
10 Jan 2019
FINRA Recaps September Disciplinary Actions
FINRA summarized disciplinary actions against firms and individuals from August 20 to September 19, 2018.
United States
6 Oct 2018
SEC Charges Tesla Chief Executive For Making False Public Statements
The SEC filed a Complaint against Tesla Chief Executive Officer Elon Musk for making a series of allegedly false and misleading statements on Twitter about a potential transaction to take the company private.
United States
3 Oct 2018
SEC Names Associate Directors In Division Of Enforcement
The SEC named Anita B. Bandy and Carolyn M. Welshhans as Associate Directors in the SEC Division of Enforcement.
United States
12 Sep 2018
MSRB Adds Five New Board Members For FY 2019
Five new members were elected to serve on the MSRB's governing board for FY 2019.
United States
13 Aug 2018
SEC Charges Former Managing Director At Broker-Dealer In Pay-To-Play Scheme
The SEC charged a former managing director/fixed-income analyst (the "analyst") at a broker-dealer with aiding and abetting a pay-to-play scheme involving the New York State Common Retirement Fund (the "Fund").
United States
7 Aug 2018
FRB Governor Powell Discusses Reforms To Board Of Directors Expectations
In a recent speech at the Large Bank Directors Conference in Chicago, Illinois, Board of Governors of the FRB Governor Jerome H. Powell detailed how supervisory expectations for boards of directors...
United States
7 Sep 2017
MSRB Fills Administrative And Board Positions
MSRB named Mark T. Kim as its Deputy Executive Director and Chief Operating Officer.
United States
10 Mar 2017
Reg. Tracker: February 16 Through February 28
The Cabinet Regulatory Tracker provides a list of upcoming effective dates, comment deadlines and compliance dates. Click on the links below to view deadlines that fall between February 16...
United States
6 Mar 2017
NFA Appoints New General Counsel
The NFA appointed Carol Wooding Vice President, General Counsel and Secretary.
United States
6 Mar 2017
NFA Elects Officers, Public Directors And Executive Committee Members
The National Futures Association Board of Directors ("Board") reelected Goldman Sachs & Co. Managing Director Michael C. Dawley to a one-year term as NFA Chair.
United States
6 Mar 2017
NFA Elects Members To Board Of Directors And 2017 Nominating Committee
The NFA announced results of the elections for Board of Directors and the 2017 Nominating Committee.
United States
22 Feb 2017
NFA To Elect CPO/CTA Director At Annual Meeting
The NFA notified member firms of an opening on its Board of Directors from the CPO/CTA category.
United States
9 Jan 2017
NFA Highlights Progress In 2016 Annual Review
The National Futures Association ("NFA") highlighted developments relating to enhanced regulatory responsibilities under Dodd Frank, international membership, technology, governance and cybersecurity....
United States
5 Jan 2017
NFA Names Thomas Sexton Next President And CEO
The Board of Directors of the National Futures Association ("NFA") named Thomas Sexton to replace Daniel Roth as NFA President and CEO, effective March 1, 2017.
United States
25 Nov 2016
MSRB Announces Members Of 2017 Investor Advisory Group
The MSRB announced new members of the 2017 Investor Advisory Group. Group members advise the MSRB Board of Directors on municipal market practices...
United States
16 Nov 2016
Revitalization Act Held To Grant Whistleblower Implied Private Right Of Action
On October 24, 2016 the New York Supreme Court, Kings County entered a decision allowing a former employee to proceed with a lawsuit against a not-for-profit, private college preparatory school...
United States
11 Nov 2016
MSRB, SEC And FINRA Discuss Municipal Securities Oversight And Cross-Market Initiatives
The MSRB Board of Directors met with SEC and FINRA regulators to discuss oversight of the municipal securities market and coordination on cross-market initiatives.
United States
10 Nov 2016
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