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By Cadwalader, Wickersham & Taft LLP
According to the Letter of Acceptance, Waiver and Consent, the broker-dealer agreed to (i) a censure and (ii) a fine of $15,000.
By Cadwalader, Wickersham & Taft LLP
The CFTC added 21 non-registered foreign entities to its Registration Deficient List.
By Cadwalader, Wickersham & Taft LLP
Broker-Dealer And Representative Settle FINRA Charges For Supervisory Failures.
By Robert Zwirb
CFTC Provides Guidance on Annual Compliance Report Requirements.
By Cadwalader, Wickersham & Taft LLP
Amazon Press Release: FINRA CAT Selects AWS for Consolidated Audit Trail.
By Steven Lofchie
While the regulators are considering how the burdens imposed by Dodd-Frank can be modified, the House majority is considering how they should be increased.
By Cadwalader, Wickersham & Taft LLP
Proposed SEC amendments to improve the accuracy and transparency of information provided by proxy advisory firms were published in the Federal Register.
By Cadwalader, Wickersham & Taft LLP
Proposed SEC amendments to the procedural requirements and resubmission thresholds of the shareholder proposal rule ("SEA Rule 14a-8")
By Cadwalader, Wickersham & Taft LLP
The New York State Department of Financial Services ("NYDFS") approved virtual currency and money transmitter license applications.
By Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for failing to implement a supervisory system in connection with the sale to retail investors of leveraged
By Cadwalader, Wickersham & Taft LLP
The DOJ charged several Russian and Italian nationals, a U.S. citizen and three companies (collectively, the "defendants")
By Cadwalader, Wickersham & Taft LLP
At the 2019 ICI Securities Law Developments Conference, SEC Division of Investment Management ("Division") Director Dalia Blass requested fund
By Cadwalader, Wickersham & Taft LLP
At the 35th Annual FIA Expo, CFTC Chair Heath P. Tarbert described five strategic goals for the CFTC and outlined action plans for each goal.
By Wesley Wintermyer
In a speech before the American Conference Institute's 36th International Conference on the Foreign Corrupt Practices Act ("FCPA")
By Mark Highman
The CFTC adopted amendments (see here and here) that incorporate CFTC staff guidance regarding CPO and CTA registration and reporting requirements into Part 4 of the CFTC Rules.
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