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By Cadwalader, Wickersham & Taft LLP
The SEC named Robert Stebbins as General Counsel. Previously, Mr. Stebbins was a partner at Willkie Farr & Gallagher.
By Cadwalader, Wickersham & Taft LLP
The SEC charged two former traders for Nomura Securities International Inc. ("Nomura") with securities fraud.
By Cadwalader, Wickersham & Taft LLP
As a part of its retrospective review process, FINRA requested comments on Rules 3270 ("Outside Business Activities of Registered Persons") and 3280 ("Private Securities Transactions...
By Steven Lofchie
The National Futures Association ("NFA") expressed its willingness to review and approve swap dealers' ("SDs") internal models for calculating market and credit risk exposures in order to determine...
By Steven Lofchie
SIFMA, ISDA and the FIA raised issues with a CFTC proposal to establish capital and liquidity requirements for swap dealers and major swap participants.
By Cadwalader, Wickersham & Taft LLP
FINRA proposed changing Rule 7730 (Trade Reporting and Compliance Engine ("TRACE")) to reduce the delay period for its transaction-level data set offering from 18 months to 6 months.
By Cadwalader, Wickersham & Taft LLP
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of May 8 to May 12, 2017.
By Steven Lofchie
FDIC Vice Chair Thomas Hoenig discussed his recent proposal to require that banks partition certain nonbanking activities (see previous coverage for more detail).
By Joseph Facciponti
President Trump signed an Executive Order mandating that all federal agencies implement certain cybersecurity measures to protect U.S. network infrastructure from foreign and domestic attacks.
By Steven Lofchie, William Sadd
The Cabinet Regulatory Tracker provides a list of upcoming effective dates, reporting deadlines, compliance deadlines, expiration dates, comment deadlines and meeting dates.
By Cadwalader, Wickersham & Taft LLP
The SEC named Lucas Moskowitz as Chief of Staff. Mr. Moskowitz served previously as Chief Investigative Counsel of the U.S. Senate Committee on Banking, Housing and Urban Affairs.
By Cadwalader, Wickersham & Taft LLP
SEC Commissioner Kara Stein discussed market integrity, the protection of investors, and responsiveness to technological advancements.
By Cadwalader, Wickersham & Taft LLP
The FINRA Board of Governors approved several proposals to increase controls and sanctions with respect to "high-risk" brokers and the firms that employ them.
By Cadwalader, Wickersham & Taft LLP
The SEC Advisory Committee on Small and Emerging Companies (the "Committee") debated several regulatory issues relating to the capital-raising activities of small issuers.
By Steven Lofchie
FINRA published Regulatory Notice 17-19, detailing changes to FINRA rules to conform them to the SEC's amended Exchange Act Rule 15c6-1(a)...
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