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By William Sadd, Steven Lofchie
The Cabinet Regulatory Tracker provides a list of upcoming comment deadlines and expiration dates.
By Cadwalader, Wickersham & Taft LLP
FINRA filed a proposed rule change relating to the implementation date of rules requiring firms to use two new trade modifiers when reporting transactions in U.S. Treasury Securities to FINRA via the TRACE.
By Cadwalader, Wickersham & Taft LLP
At the 2017 Journal of Accounting and Public Policy Conference, SEC Chief Accountant Wesley Bricker described the "significant contributions" of academic researchers to the quality and...
By Cadwalader, Wickersham & Taft LLP
In a recent memorandum, Cadwalader attorneys Jason Halper, Jodi Avergun, Joe Moreno, Lex Urban, Kendra Wharton and Aaron Buchman posited that the "Financial CHOICE Act of 2017"...
By Cadwalader, Wickersham & Taft LLP
On June 8, 2017, the House of Representatives passed the "Financial CHOICE Act of 2017" (H.R. 10) (the "CHOICE Act").
By Cadwalader, Wickersham & Taft LLP
The CFTC Division of Swap Dealer and Intermediary Oversight granted relief from the annual report filing requirement for commodity pool operators ("CPOs") of certain pools that operate...
By Cadwalader, Wickersham & Taft LLP
The CFTC Division of Clearing and Risk (the "Division") granted no-action relief to CME Clearing Europe Limited ("CMECE"), which is in the process of being wound down by its parent CME...
By Cadwalader, Wickersham & Taft LLP
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of June 5 to June 9, 2017.
By Steven Lofchie
FINRA's Office of the Chief Economist published a research note authored by two staff members that examined the liquidity of securitized assets over the course of the last several years.
By Cadwalader, Wickersham & Taft LLP
The bulletin also referenced the OCC's "Third-Party Relationships" guidance resource for banks as they navigate the T+2 implementation process.
By Cadwalader, Wickersham & Taft LLP
The MFA also praised the CFTC's Project KISS (Keep It Simple, Stupid) initiative and expressed support for measures aimed at streamlining processes and modernizing regulations.
By Jodi Avergun, Aaron Buchman, Jason Halper, Joseph Moreno, Lex Urban, Kendra Wharton
Legislation passed by the U.S. House of Representatives threatens to shake up the Securities and Exchange Commission's enforcement program in a historic manner.
By Cadwalader, Wickersham & Taft LLP
The SEC named Stephanie Avakian and Steven Peikin as Co-Directors of the SEC Division of Enforcement. Ms. Avakian was Acting Director of the Division of Enforcement.
By Cadwalader, Wickersham & Taft LLP
FINRA issued Regulatory Notice 17-22 to remind members of rule changes implemented in December 2016.
By Cadwalader, Wickersham & Taft LLP
In remarks before the 36th Annual SEC and Financial Reporting Institute Conference, SEC Chief Accountant Wesley Bricker emphasized the importance of effective financial reporting and auditor independence.
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