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Cadwalader, Wickersham & Taft LLP
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By Cadwalader, Wickersham & Taft LLP
Expanded reporting of U.S. Treasury security transactions to the FINRA Trade Reporting and Compliance Engine ("TRACE") commenced on July 10, 2017.
By Steven Lofchie
The SEC charged a research scientist with insider trading in relation to allegations that he traded on confidential information obtained from his wife.
By Mark Howe
The United States Senate Committee on Finance (the "Committee") will hold hearings on July 18, 2017 to discuss options for overhauling the tax code and to consider the nomination of...
By Nihal Patel
At the nonpartisan Economic Club of New York, SEC Chair Jay Clayton highlighted the guiding principles behind his regulatory agenda.
By Cadwalader, Wickersham & Taft LLP
FINRA released a podcast summary of FINRA news, notices and resources from June 2017.
By Cadwalader, Wickersham & Taft LLP
A judge in the U.S. District Court for the Northern District of California granted preliminary approval to an agreement that would allow Wells Fargo to settle a class-action lawsuit filed...
By Cadwalader, Wickersham & Taft LLP
Effective October 2, 2017, the delay period applicable to Historic Trade Reporting and Compliance Engine ("TRACE") Data for corporate bonds and agency debt will be reduced from 18 months to six months.
By Robert Zwirb
The CFTC charged a New York resident and his company with commodity pool fraud, off-exchange foreign currency derivatives fraud, and failure to register with the CFTC.
By Cadwalader, Wickersham & Taft LLP
The United States House Committee on Small Business ("Committee") requested a briefing by the Consumer Financial Protection Bureau ("CFPB") regarding the agency's business lending data collection rulemaking.
By Cadwalader, Wickersham & Taft LLP
The FDIC published a manual for FDIC employees that provides guidance on processing and evaluating deposit insurance applications.
By Cadwalader, Wickersham & Taft LLP
MiFID II and MiFIR will be applicable across the European Union ("EU") beginning on January 3, 2018.
By Nihal Patel, Steven Lofchie
The CFTC Division of Market Oversight (the "DMO") will undertake a comprehensive review of swap data reporting requirements.
By Jacob Dachs
The Consumer Financial Protection Bureau ("CFPB") issued a new rule that restricts mandatory arbitration clauses in certain consumer financial contracts.
By Cadwalader, Wickersham & Taft LLP
The SEC is updating the Electronic Data Gathering, Analysis, and Retrieval ("EDGAR") system's Filer Manual.
By Cadwalader, Wickersham & Taft LLP
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of July 3 to July 7, 2017.
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